Carol joined Wingate in 2000 and works closely with our Chief Compliance Officer to meet all of the firm’s compliance obligations. This includes preparing SEC filings, including Forms ADV and CRS, creating, implementing and updating firm compliance policies and procedures, conducting internal compliance audits and an annual compliance self-assessment, preparing and presenting the annual compliance meeting and other compliance trainings throughout the year, working with all custodians on client and firm compliance issues, preparing for regulatory examinations, reviewing client agreements, and monitoring compliance related firm activities.
Carol is also currently managing the firm’s IT activities including the implementation of major IT infrastructure improvements, monitoring vendor contracts and services, and responding to day-to-day employee IT issues.
Carol holds the Investment Adviser Certified Compliance Professional® designation and the Series 65 securities license. Carol is a graduate of Cornell University with a BA in French Linguistics and has a MS in Computer Information Systems from Boston University.
Carol and her husband, John, have two adult children and a new granddaughter, all of whom live in Philadelphia. In her spare time, Carol enjoys cooking, reading, and shopping (as a native New Yorker, she was born with a dominant shopping gene).