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PRACTICE AREAS
- Investment Adviser and Investment Company Compliance
- Compliance Program Surveillance & Research
With 19 years of securities experience, Ms. Mitchell provides practical compliance solutions
for our clients. Ms. Mitchell was SVP and Chief Compliance Officer for Roger Engemann and
Associates, a federally registered investment adviser that manages assets for mutual funds,
institutional accounts, wrap fee programs and high net worth individuals. In addition, Ms.
Mitchell served as Secretary to the firm’s mutual funds for over eight years. Ms. Mitchell is a
certified paralegal and has served as a FINRA arbitrator for the past nine years. Ms. Mitchell
also is a frequent industry presenter on a variety of compliance topics.
- Membership Co-Chair, Southern California Compliance Group
- Member, National Society of Compliance Professionals
| Tina MItchell Compliance Consultant & Paralegal |
Core Compliance & Legal Services, Inc.
Solutions for Today's Business
Solutions for Today's Business