At Kroll, Olivia works closely with registered and exempted investment advisers to provide tailored compliance solutions, helping advisers navigate their obligations under applicable rules and regulations. Her expertise includes registering investment advisers with the SEC, establishing compliance infrastructures, developing tailored policies and procedures and assisting with ongoing testing and execution of compliance programs. Olivia collaborates with investment advisers to implement industry best practices and offers guidance on interpreting SEC rules and regulations, including advisers’ obligations under the Marketing Rule. Her expertise extends to conducting risk assessments for advisers’ businesses and compliance programs.
Olivia assists advisers during regulatory inquiries and examinations, including preparing responses for regulators. Additionally, she provides advice to broker-dealers, helping with Financial Industry Regulatory Authority (FINRA) registration and the ongoing implementation of broker-dealer compliance programs.
Prior to joining Kroll, Olivia worked as a Paralegal at Hogan Lovells US LLP as part of their corporate, securities and real estate practices. She drafted and filed corporate governance documents, SEC and FINRA filings, and corporate housekeeping documents.
Olivia received a B.A., summa cum laude, from Fordham University.
