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Kate Ring
SVP, Advisory CCO and Head of Product & Platform Compliance
Professional Background
Katherine Ring is a seasoned legal professional with significant expertise in compliance and regulation within the financial services industry. Currently, she serves as a Senior Vice President, Advisory Chief Compliance Officer, and Head of Product and Platform Compliance at LPL Financial, where she plays a crucial role in ensuring adherence to legal standards and promoting best practices throughout the organization. Katherine's extensive career at LPL Financial includes various positions of increasing responsibility, showcasing her deep knowledge of the regulatory landscape and her ability to lead compliance initiatives effectively.
Before taking on her current role, Katherine was the Senior Vice President and Associate General Counsel at LPL Financial, where she was instrumental in legal advisory and managing the complex compliance environment unique to financial markets. Her prior experience as Vice President and Associate Counsel at LPL Financial further honed her skills in navigating legal challenges and developing compliance frameworks that ensure robust governance and ethical business practices.
Katherine's journey in the compliance field began with her role as the Chief Compliance Officer at Fortigent, LLC, where she established a foundation in compliance regulation and risk management. Further building on her expertise, she held the position of Compliance Manager at Spot Trading, LLC, where she effectively navigated and ensured the firm's adherence to applicable compliance regulations.
Throughout her impressive career, Katherine has continually demonstrated her commitment to compliance excellence. Before her roles at LPL Financial and Fortigent, she served as the Chief Compliance Officer and Counsel at Mutual Trust Financial Group. In these pivotal positions, she navigated complex regulatory landscapes and ensured that the organizations operated within the parameters of the law, thereby fostering trust and integrity.
Education and Achievements
Katherine's educational background lays a strong foundation for her impressive career in legal and compliance roles. She earned her Juris Doctor degree from DePaul University College of Law, a well-respected institution known for its rigorous legal education. During her time there, she developed a comprehensive understanding of American and U.S. law, legal studies, and jurisprudence, equipping her with the necessary skills to excel in her field.
Prior to her law degree, Katherine obtained her Bachelor of Arts in Political Science and Justice from American University. This focus on political systems and justice has greatly influenced her approach to regulatory compliance and legal governance, allowing her to understand the broader implications of compliance in the financial industry.
Katherine's academic and professional journey exemplifies her dedication to continuous learning and professional growth. Her achievements demonstrate a remarkable understanding of financial regulation and the compliance requirements needed to operate successfully in the financial sector. She has built a reputation as a straight shooter who provides candid, strategic advice to executives and staff alike, which has bolstered her organizations' reputations in the marketplace.
Notable Achievements
Among Katherine's many achievements, her ability to lead compliance teams and develop proactive compliance strategies stands out. At LPL Financial, she has been pivotal in enhancing the organization's compliance culture, fostering an environment of ethical responsibility, and ensuring adherence to the strictest standards of regulatory compliance. Her leadership has empowered teams and facilitated a collaborative approach to compliance issues, ultimately protecting the organization from potential risks and enhancing its reputation.
Katherine's influence also extends beyond compliance systems; her work has directly contributed to shaping policy discussions and compliance frameworks, particularly in areas relating to financial services and investment. Through her efforts, she has helped to set industry standards that not only benefit her organization but also serve as a benchmark for the industry as a whole, aligned with the increasing emphasis on corporate governance and ethical business practices.
title
tags
leadership in compliance
regulatory compliance
financial services expertise
legal advisory
Juris Doctor
American University
DePaul University College of Law
Chief Compliance Officer
LPL Financial
Fortigent LLC
Spot Trading LLC
Mutual Trust Financial Group
experience in law
career in compliance
compliance leadership
Location
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