Julie has over 20 years of compliance experience. She started her career at Merrill Lynch. During her time at Merrill Lynch, she led a wide variety of supervisory responsibilities and managed the compliance functions related to the Private Wealth Management Group.
After her time at Merrill Lynch, she joined PNC Investments as a Regional Supervision Officer where she monitored advisors for adherence to company policies and acted as the regional escalation point in the review of new business for Illinois, Indiana, and Wisconsin. She then transitioned to Duff & Phelps Investment Management where she served as Senior Director and the right-hand to the CCO for 10 years where she assisted in overseeing the compliance program and managed the compliance functions for the firm. Next, she accepted a role as a Compliance Manager at Fiducient Advisors where she assisted the CCO in supervising the compliance program for the firm. Most recently, she worked at Vista360, LLC as a Consultant where she advised investment advisers and fund clients on regulatory compliance matters including CCO support, compliance program development, annual review, testing, and SEC examination preparation.
Julie earned a Bachelor of Business Administration degree from Robert Morris University and a Master of Business Administration degree from Roosevelt University. Julie holds the Investment Adviser Certified Compliance Professional (IACCP®) designation and holds an Accredited Asset Management Specialist (AAMS®) designation. She currently holds her Series 7, 24, and 63 licenses and previously held her 9, 10, and 65 licenses while at her previous positions. Julie is a member of the Women Investment Professionals.
