Download my Contact Information

PRACTICE AREAS

• Investment Company, Broker-Dealer, and Investment Adviser Compliance
• FINRA and NFA Licensing and Registration
• Development of Written Supervisory Procedures (WSPs)
• AML Audits and Branch Office Examinations
• Code of Ethics and Forms ADV
• Performance Advertising and Marketing Reviews

With more than 28 years in the securities industry, Ms. Gruben has extensive compliance experience in all aspects of the institutional advisory, broker-dealer, and mutual fund marketplace.  Her expertise in the areas of broker-dealer and investment adviser marketing and advertising reviews, licensing and registration, mock regulatory examinations, and authorship of WSPs has proved invaluable to our clientele. With Ms. Gruben’s expertise in the areas of drafting Codes of Ethics, AML and trading, she brings practical compliance solutions for managing client needs. 

Previous to working as a Sr. Compliance Consultant, Ms. Gruben served as Vice President, Compliance Officer, for Pacific Investment Management Company (PIMCO), a federally registered investment adviser that manages over one trillion dollars in assets for mutual funds, institutional accounts, and high net worth individuals.  Prior to that, she served as Chief Compliance Officer at Thornburg, Financial Advisor at Waddell & Reed and Compliance Officer at Nicholas-Applegate. During her career, she collaborated on creating an effective compliance testing program under Rule 38a-1of the Investment Company Act, and Rule 206(4)-7 of the Investment Advisers Act.

During her tenure in the securities industry, Ms. Gruben was responsible for ensuring compliance with all required federal and state rules and regulations, keeping current on changes in regulatory legislation and evaluating their effect on a firm’s activities, providing advice on compliance issues, monitoring and maintaining all disclosure documents, conducting periodic audits and testing of written policies and procedures, reviewing and approving marketing and advertising materials, ensuring timely regulatory filings, training employees on compliance requirements, review of reports for fund boards, working with external regulatory agencies during audits and coordinating responses to registration and regulatory requests for information.

EDUCATION

Attended San Diego State University
FINRA Series 7, 8, 24 65 and 63 licenses

PROFESSIONAL AFFILIATIONS

Member, National Society of Compliance Professionals
Member, Southern California Compliance Group