Carol joined Wingate in 2000 and, as a Compliance Officer, works with Wingate’s Chief Compliance Officer to meet all the firm’s compliance obligations. This includes drafting and submitting SEC filings and preparing for regulatory examinations, creating, implementing and updating firm compliance policies and procedures, conducting an annual compliance self-assessment and internal compliance audits, preparing and presenting an annual compliance meeting and other compliance trainings throughout the year, working with all custodians on client and firm compliance issues, reviewing client agreements, and monitoring compliance related firm activities. 

In her role as Director of IT, Carol manages Wingate’s IT activities, including working closely with the firm’s IT vendor who provides Help Desk support to employees, management of Wingate’s computer network, and security monitoring of the firm’s IT infrastructure. She also monitors and negotiates IT related vendor contracts and services and acts as the internal point of contact for IT issues that require special attention. 

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 married adult children and two grandchildren, all of whom live in Philadelphia.  In her spare time, Carol enjoys spending time with family, traveling, cooking, reading, and shopping (as a native New Yorker, she was born with a dominant shopping gene).  In recent years, she has become a “plant lady” as evidenced by the growing plant collection in her office and at home.