Tina L. Mitchell
Tina L. Mitchell
Managing Director, Consultation Services
- Investment Adviser Registration
- Investment Adviser, Private Fund and Investment Company Compliance
- Compliance Program Development and Compliance Technology
- Marketing and Advertising Reviews
- Testing and Surveillance Process
- Trading and Best Execution Analysis
- Regulatory Filings (Form ADV, Form CRS, Form PF, etc.)
- Compliance Policies and Procedures
- Risk Assessments, Annual Reviews, Regulatory Mock Audits
- Compliance Training and Education
- Mentoring new CCOS
Paralegal Certification, Pasadena City College
Professional Affiliations & Certifications
With 35 years of securities experience, Ms. Mitchell provides practical solutions for the clients of Core Compliance & Legal Services, Inc. ℠ ("Core Compliance"). Her expertise covers investment adviser compliance risk management, performing marketing and advertising reviews, annual reviews and risk assessments, SEC mock audits, assessing and authoring compliance policies and procedures, including but not limited to Codes of Ethics, Cybersecurity and Business Continuity Plans, drafting Form ADV and Form CRS, and evaluating trading and portfolio management operations. Ms. Mitchell also specializes in mentoring and training CCOs and other compliance personnel and assists them with maintaining their firm’s compliance programs.
Prior to joining Core Compliance, Ms. Mitchell was the Senior Vice President and Chief Compliance Officer for Engemann Asset Management (“Engemann”), a federally-registered investment adviser owned by the Phoenix Companies. Engemann managed assets for registered investment companies, wrap programs and high net worth clients. At Engemann, Ms. Mitchell was responsible for the firm’s continued compliance with federal and state securities laws. Ms. Mitchell also served as the Secretary of the Phoenix Engemann Funds (part of the Phoenix Family of Funds) and compliance liaison between Engemann and the Phoenix Engemann Funds Board of Trustees for over 8 years.
Ms. Mitchell has served as a FINRA arbitrator for over 25 years and served as President of the Southern California Compliance Group for three years. She also is a member of the California 40’ Act Group.