Colleen Corwell is a Director at Alaric Compliance Services, LLC. She is an experienced senior level compliance and risk management professional with extensive experience, including serving as a Chief Compliance Officer at FINRA and SEC registered firms and working with SEC, FINRA, insurance, ERISA, MSRB, OCC, FCA and various international regulatory bodies and their respective regulations. Her product experience includes private equity and debt funds, hedge funds, mutual funds, stocks, options, exchange-traded products, bonds, 529 plans, annuities, retirement plans, BDC’s, UCITS, REITS, loans, credit, derivatives and structure products. She has managed a number of FINRA and SEC routine examinations and has obtained the following FINRA licenses: Series 7, 24, 55, 65, 79, 63, and 99.
Prior to joining Alaric, Ms. Corwell was the Chief Compliance Officer & Risk Manager for Clarion Partners, LLC (formerly ING Group N.A.) broker-dealer and the Deputy Chief Compliance Officer for the RIA and FCA registered firm where she was responsible for regulatory and policy matters.
She held senior level compliance roles at Capital One Bank and Ameriprise Financial. She also served as the Chief Compliance Officer for Taylor Companies, LLC, a private global investment bank, a dual-registrant where she was responsible for all aspects of compliance.
Ms. Corwell is a CAMS certified member of the Association of Anti-Money Laundering Specialists (ACAMS). Prior to entering financial services Ms. Corwell was the Head Coach of the NCAA Division I, Woman's Soccer Program at American University. She holds a Bachelor of Arts degree from The College of William and Mary and Master of Business Administration from Touro University.
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