Alaric Compliance Services Director Victoria Olson has over 23 years of broker-dealer, insurance and investment adviser experience. She holds FINRA Series 7, 24 and 63 licenses. Ms. Olson currently works with several large asset managers and is the Chief Compliance Officer for the SEC-registered investment adviser to the family office of one of the largest private equity firms in the U.S. She provides compliance support to an additional affiliated SEC-registered investment adviser, a $2 billion Private Equity firm and its affiliated SEC-registered investment adviser, and supports two affiliated SEC- registered investment advisers to closed-end funds with AUM totaling over $1.4 billion. She has performed several independent Anti-Money Laundering exams.
Prior to Alaric, Ms. Olson served as the Broker Dealer Chief Compliance Officer and AML Compliance Officer for Forethought Financial Group, a subsidiary of a multi-line insurance and reinsurance company with over $30 billion in assets and 10 offices. Previously, for 12 years she held senior compliance roles in the compliance departments at Prudential Financial and at The Phoenix Companies where her responsibilities included developing a company-wide conflicts of interest database, streamlining compliance processes across affiliated entities, and oversight for anti-money laundering, business continuity, customer complaint, continuing education, code of ethics and conflicts of interest programs.
Ms. Olson is currently a member of the NSCP and NEBDIAA and is qualified as a FINRA Dispute Resolution Arbitrator. Previously, she served on the FINRA District Committee as a Member from 2008-2011 and as Committee Chair from 2010- 2011. She has served on the IRI State Affairs Committee and LIMRA Regulatory Compliance Committee. She has earned the CRCP designation through the NASD Institute at Wharton, CLU from The American College, and has completed the CAMS course. Ms. Olson holds a B.A. cum laude from The University of Connecticut.
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