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PRACTICE AREAS

• Investment Adviser and Investment Company Compliance
• Compliance Program Development and Surveillance
• Risk Assessments and Annual Reviews
• Performance Advertising Reviews
• Code of Ethics
• Compliance Training and Education

With 25 years of securities experience, Ms. Mitchell provides practical compliance solutions for our clients. Her practice focuses on investment adviser compliance risk management, including performing marketing and advertising reviews, focused risk assessments, authoring / assessing policy and procedure manuals, drafting Codes of Ethics and evaluating trading and portfolio management operations.  In addition, Ms. Mitchell frequently authors articles, develops internal control procedures and performs 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 eighteen years and served as President of the Southern California Compliance Group for three years.  Ms. Mitchell frequently presents on a variety of compliance topics both at client firms and at industry conferences.

EDUCATION

Paralegal Certification, Pasadena City College

PROFESSIONAL AFFILIATIONS

Member, Southern California Compliance Group
Member, FINRA Arbitrator