 | |  | |  | |  | |  |
 |
| |
 |
| |
 |
| |
 |
| |
 |
| |
 |
| |
 |
Carolyn J. Kasky
Sr. Compliance Consultant
Contact Information
5920 Friars Road, Suite 208
San Diego, CA 92108
Tel: 619.278.0020
Fax: 619.278.0050
carolyn.kasky@corecls.com
Sr. Compliance Consultant
Contact Information
5920 Friars Road, Suite 208
San Diego, CA 92108
Tel: 619.278.0020
Fax: 619.278.0050
carolyn.kasky@corecls.com
PRACTICE AREAS
• Broker-Dealer Compliance Programs
• Independent AML Audits and Program Documentation Review
• Written Supervisory Procedures Creation and Maintenance
• Annual Supervisory Testing and Certification Activities
• Continuing Membership Applications
• OSJ Audits
Ms. Kasky has over 25 years of industry experience, with focus on compliance
consultation, project management, customer service, technical writing and
business and operational analysis. Her practice focuses on broker-dealer
supervisory compliance, licensing and registration and anti-money laundering
programs. With her unique skill set, Ms. Kasky provides comprehensive
broker-dealer compliance consulting to clients throughout the country. Her
services include, among others, development of compliance programs,
preparation of systems based on newly promulgated rules and regulations,
organization and submission of continuing membership applications, OSJ and
branch audits, authoring and review of Written Supervisory Procedures and
licensing and registration filings. In addition, Carolyn develops Continuing
Education programs (including the needs analysis and training plans),
conducts business continuity plan testing, provides general consultation on
firm operations and conversion support and conducts independent AML audits
for both broker-dealer and futures firms.
Ms. Kasky began her financial industry career with Quick & Reilly discount
brokers and moved to First Union Brokerage Services where served as AVP in
charge of Operations for several years. She was recruited by BHC Securities
in Philadelphia as a customer service representative, and during her time
there served as the firm’s technical writer, business analyst in the Systems
Department and project manager for the IT division.
Ms. Kasky holds the designation of Certified Anti-Money Laundering Specialist
(“CAMS”) from the Association of Certified Anti-Money Laundering Specialists,
where she has been a member since 2003. She is and active member of the
National Society of Compliance Professionals and holds the Certified
Securities Compliance Professional (CSCP) designation. In 1998, Ms. Kasky
helped to author the FINRA Series 55 examination study manual.
EDUCATION
Project Management Certificate, Penn State University
Masters in Information Systems, Drexel University
Masters in Special Education, Suffolk University
B.A., Elementary Education, Tusculum College
PROFESSIONAL AFFILIATIONS & CERTIFICATIONS
Member, Association of Certified Anti-Money Laundering Specialists (ACAMS)
Member, National Society of Compliance Professionals
Certified Anti Money Laundering Specialist (Sponsored by ACAMS)
Certified Securities Compliance Professional (Sponsored by NSCP)
• Broker-Dealer Compliance Programs
• Independent AML Audits and Program Documentation Review
• Written Supervisory Procedures Creation and Maintenance
• Annual Supervisory Testing and Certification Activities
• Continuing Membership Applications
• OSJ Audits
Ms. Kasky has over 25 years of industry experience, with focus on compliance
consultation, project management, customer service, technical writing and
business and operational analysis. Her practice focuses on broker-dealer
supervisory compliance, licensing and registration and anti-money laundering
programs. With her unique skill set, Ms. Kasky provides comprehensive
broker-dealer compliance consulting to clients throughout the country. Her
services include, among others, development of compliance programs,
preparation of systems based on newly promulgated rules and regulations,
organization and submission of continuing membership applications, OSJ and
branch audits, authoring and review of Written Supervisory Procedures and
licensing and registration filings. In addition, Carolyn develops Continuing
Education programs (including the needs analysis and training plans),
conducts business continuity plan testing, provides general consultation on
firm operations and conversion support and conducts independent AML audits
for both broker-dealer and futures firms.
Ms. Kasky began her financial industry career with Quick & Reilly discount
brokers and moved to First Union Brokerage Services where served as AVP in
charge of Operations for several years. She was recruited by BHC Securities
in Philadelphia as a customer service representative, and during her time
there served as the firm’s technical writer, business analyst in the Systems
Department and project manager for the IT division.
Ms. Kasky holds the designation of Certified Anti-Money Laundering Specialist
(“CAMS”) from the Association of Certified Anti-Money Laundering Specialists,
where she has been a member since 2003. She is and active member of the
National Society of Compliance Professionals and holds the Certified
Securities Compliance Professional (CSCP) designation. In 1998, Ms. Kasky
helped to author the FINRA Series 55 examination study manual.
EDUCATION
Project Management Certificate, Penn State University
Masters in Information Systems, Drexel University
Masters in Special Education, Suffolk University
B.A., Elementary Education, Tusculum College
PROFESSIONAL AFFILIATIONS & CERTIFICATIONS
Member, Association of Certified Anti-Money Laundering Specialists (ACAMS)
Member, National Society of Compliance Professionals
Certified Anti Money Laundering Specialist (Sponsored by ACAMS)
Certified Securities Compliance Professional (Sponsored by NSCP)
| 5920 Friars Road Suite 208 San Diego, CA 92108 Phone: 619-278-0020 Fax: 619-278-0050 |
