Overview
Alex Nguyen es gerente de la oficina de Servicios de Asesoría de Riesgos de Kaufman Rossin, donde les aporta a sus clientes casi una década de experiencia en servicios financieros.
Currently, she consults with Broker-Dealers, Registered Investment Advisers, and other professionals with a variety of compliance, risk, and regulatory obligations. Additionally, Alex assesses regulatory and compliance risks for firms and assists with the execution and completion of operational, regulatory compliance, and business process control reviews.
Prior to joining Kaufman Rossin, Alex’s professional career spanned several dually registered Broker-Dealers and Investment Advisers, where she served in multiple capacities. Specifically, her experience ranged from leading operational and service teams to counseling clients on the best ways to achieve financial independence through goal-based planning.
She earned her Master of Business Administration from DePaul University.
Education
Maestría en Administración de Empresas, DePaul University
Services
- FINRA & SEC Compliance
- Regulatory Compliance
