Rose Kaufman is a Director in the Financial Services Compliance and Regulation practice, based in Los Angeles. Rose leverages over 20 years of regulatory experience working extensively with private wealth advisors and private fund managers. She has assisted numerous clients in registering with the U.S. Securities and Exchange Commission (“SEC”) and establishing customized compliance programs.

At Kroll, Rose provides strategic advice on all aspects of compliance programs, including drafting policies and procedures to ensure compliance with Financial Industry Regulatory Authority (“FINRA”), state, SEC and Municipal Securities Rulemaking Board (“MSRB”)  regulations, conducting compliance and operational risk assessments, facilitating training, reviewing marketing materials, conducting forensic reviews and assisting with various MSRB-required filings. She also participates in mock regulatory examinations, including conducting key employee interviews, and supports clients through SEC examinations.

Prior to joining Kroll, Rose served as an outsourced Chief Compliance Officer at a municipal advisor firm, where she developed and implemented their compliance program in accordance with MSRB rules. Before that, Rose served as Vice President and Regional Compliance Manager of the San Francisco Private Wealth Management Department of Goldman Sachs. In this role, she was responsible for formulating and implementing policies and procedures, facilitating training, reviewing and approving marketing correspondence, conducting various trade surveillances and performing forensic reviews. She joined Goldman Sachs as an Analyst in the Global Compliance Department in New York, handling firm, employee and options trading surveillance along with related reporting. Her career in the regulatory industry began as an Examiner with FINRA (f/k/a NASD), where she led investigations surrounding client inquiries.

Rose could be described as a compliance nerd and is still trying to find a way to describe what she does as a compliance consultant to her husband and two kids.

Secretary Summary

Essential Duties & Responsibilities:

• Prepare and distribute Agendas for Officer Meetings.
• Create and timely distribute Minutes of Officer Meetings.
• Work with President to review and approve procedures and policies that affect the structure and purpose of SCCG.
• Lead efforts to update the SCCG Bylaws, as needed.
• Maintain Officer biographies and role descriptions.
• Ensure organization and archiving of SCCG documents.

Qualifications:

Must be a Member in good standing with SCCG and be appointed by the President. In addition, successful execution of duties requires that an individual be able to perform each essential duty satisfactorily.