Kate Ward

Kate Ward is an accomplished compliance professional with a passion for the financial services industry. She boasts a wealth of knowledge regarding the Investment Adviser's Act and the Investment Company Act, and is skilled in Microsoft Office, written communication, document drafting and editing, reporting, risk management, testing, training and development, organization and critical thinking. As an ethical and hardworking individual, Kate takes pride in utilizing her initiative and creativity to problem-solve and streamline processes to get the job done right.

Kate's educational background includes a Master's Degree in Piano Performance obtained at the University of Colorado Boulder, as well as a Bachelor of Arts in Psychology from Lee University. She has worked as a Compliance Officer at RedCAT Systems and as an Assistant Compliance Officer at Rocky Mountain Advisers, LLC. Prior to this, Kate worked as an Associate Wealth Management Advisor at Northwestern Mutual.