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Catherine Hanks

Tom Kane

Consulting Associate
Compliance Expert

Catherine Hanks is a senior securities compliance professional with 30 years in broker-dealer and investment adviser regulatory affairs. Ms. Hanks has worked in the retail financial services business with firms that specialize in cross-selling securities to core customer groups.

Ms. Hanks has been at forefront of emerging regulation, whether it was the demise of Glass-Steagall and birth of Gramm-Leach-Bliley at Citibank, or the integration of US Patriot Act and Swiss Anti-Money Laundering laws at Credit Suisse. In her role as Compliance Consultant, Ms Hanks has established broker/dealers, and Registered Investment Advisers and assisted those companies in the creation of sound compliance processes and cultures. She has also helped firms rebuild compliance programs after unfavorable determinations and deficiencies from the FINRA and the SEC.

Employed by bank-affiliated, insurance-affiliated and money management firms as head of Operations, Due Diligence, Training, Financial Planning & Compliance Departments, Katie has demonstrated expertise and leadership in every aspect of compliance and governance affecting the wealth management industry over the past three decades.

Katie@KaneCarlton.com