Ann Keitner brings more than 30 years of experience in the financial services industry to her role as Chief Compliance Officer at McCarter Private Wealth Services. Ann’s extensive background in compliance consulting enables her to provide in-depth guidance on a variety of areas, including firm and individual registrations, examinations, firm policies and procedures, federal and state regulatory rule interpretations, and risk assessments. She also has extensive knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA rules.
Ann’s prior consulting experience includes serving as Assistant Vice President at AdvisorAssist, Executive Director at Elinphant, and Senior Consultant at ReGroup. Over the course of her career, Ann has been recognized for being both abreast of developments in the regulatory and governance environment, and proactive in areas related to compliance education and training.
Ann earned her BA in Economics from William Smith College in Geneva, New York.