Karen serves as the Chief Compliance Officer for UMB Distribution Services, LLC. She is responsible for ensuring broker-dealer compliance with all FINRA and SEC rules and regulations, including review, approval and FINRA filing of marketing communications with the public, as well as for registered representative oversight. She also oversees the work of the department’s compliance analysts.
Karen joined UMB Fund Services in 2010 with more than 25 years of financial services experience, along with knowledge in the areas of registered representative supervision and advertising regulation.
Karen previously held positions with Wells Fargo Funds Distributor, American Skandia, Berger Funds, Boston Financial Data Services, and Fidelity Investments.
Series 7 - General Securities Registered Representative
Series 24 - General Securities Principal
Series 63 - Uniform Securities Agent
Karen holds a bachelor’s degree in business administration from Western Michigan University and a master’s of science management degree with an emphasis in strategic innovation and change management from Colorado State University.