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Tina Mitchell
Sr. Compliance Consultant
Contact Information
5920 Friars Road, Suite 208
San Diego, CA 92108
Tel: 619.278.0020
Fax: 619.278.0050
tina.mitchell@corecls.com
Sr. Compliance Consultant
Contact Information
5920 Friars Road, Suite 208
San Diego, CA 92108
Tel: 619.278.0020
Fax: 619.278.0050
tina.mitchell@corecls.com
PRACTICE AREAS
• Compliance Program Surveillance & Research
• Risk Assessments/Annual Reviews
• Performance Advertising Reviews
• Code of Ethics
• Compliance Training and Education
With 22 years of securities experience, Ms. Mitchell provides practical
compliance solutions for our clients. She focuses on many investment adviser
compliance risk management areas, performing marketing and advertising
reviews, focused risk assessments, authoring and assessing Policy &
Procedure manuals and Code of Ethics for completeness and evaluating
portfolio management operations. In addition, Ms. Mitchell frequently authors
articles, develops internal control procedures and assists with compliance
program reviews.
Ms. Mitchell was SVP and Chief Compliance Officer for Engemann Asset
Management, a federally registered investment adviser that managed 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 has served as a FINRA
arbitrator for the past ten years. Ms. Mitchell also is a frequent industry
presenter on a variety of compliance topics.
EDUCATION
Paralegal Certification, Pasadena City College
PROFESSIONAL AFFILIATIONS
Membership Chairperson, Southern California Compliance Group
Member, National Society of Compliance Professionals
Member, FINRA Board of Arbitrators
• Compliance Program Surveillance & Research
• Risk Assessments/Annual Reviews
• Performance Advertising Reviews
• Code of Ethics
• Compliance Training and Education
With 22 years of securities experience, Ms. Mitchell provides practical
compliance solutions for our clients. She focuses on many investment adviser
compliance risk management areas, performing marketing and advertising
reviews, focused risk assessments, authoring and assessing Policy &
Procedure manuals and Code of Ethics for completeness and evaluating
portfolio management operations. In addition, Ms. Mitchell frequently authors
articles, develops internal control procedures and assists with compliance
program reviews.
Ms. Mitchell was SVP and Chief Compliance Officer for Engemann Asset
Management, a federally registered investment adviser that managed 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 has served as a FINRA
arbitrator for the past ten years. Ms. Mitchell also is a frequent industry
presenter on a variety of compliance topics.
EDUCATION
Paralegal Certification, Pasadena City College
PROFESSIONAL AFFILIATIONS
Membership Chairperson, Southern California Compliance Group
Member, National Society of Compliance Professionals
Member, FINRA Board of Arbitrators
