Ms. Maloney serves as Chief Compliance Officer and has held similar management positions at other firms. She is an experienced compliance, legal and regulatory professional with over 20 years in the financial services industry. Previously, she was a securities regulator in Los Angeles, which eventually led to providing compliance guidance and services for investment advisers and broker/dealers throughout Orange County.
In addition to holding several securities licenses, Ms. Maloney earned a Bachelor of Science (B.S.) degree In Business Administration from the University of Southern California, a Juris Doctor (J.D.) degree from Whittier College School of Law, a Master of Laws (L.L.M.) degree from the University of Southern California Gould School of Law and is a Certified Regulatory and Compliance Professional (CRCP).