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Carolyn Barr

Compliance Officer

337 followers

Greater Chicago Area

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Timeline
About me
Chief Compliance Officer at Vestor Capital, LLC
Education
- Fenwick High School
  -
- Creighton University
  2001 - 2005
  BA English
- DePaul Driehaus College of Business
  2010 - 2013
  MBA Business Strategy
Experience
- Henderson Global Funds
  Sept 2007 - Nov 2015
  Compliance Officer
  • Performed forensic testing around trade allocation, IPO trading activity, and trade restrictions.• Assisted in response to regulatory including FINRA and the SEC.• Implemented and managed employee personal trading monitoring system, inspected trades and handled new employee compliance training• Managed the registration of CPO and CTA entities with the NFA. Completed quarterly CPO & CTA filings.• Investigated with Portfolio Managers and Operations Department to clear portfolio trades through Charles River trading platform Show less
- Aon
  Nov 2015 - Apr 2017
  Compliance Manager
- Vestor Capital, LLC
  Apr 2017 - now
  - Chief Compliance Officer, Human Resources Manager
    Jun 2020 - now
  - Senior Compliance Analyst and HR Manager
    Apr 2017 - Jun 2020
Licenses & Certifications
- Claritas Investment Certificate
  CFA Institute
  Sept 2015
Volunteer Experience
- Associate Board Member
  Issued by Mercy Home for Boys and Girls on Jul 2012
  Associated with Carolyn Barr
- Chicago Alumni Advisory Board Member
  Issued by Creighton University on Jul 2012
  Associated with Carolyn Barr
- Volunteer Tutor
  Issued by Mercy Home for Boys and Girls on Sept 2009
  Associated with Carolyn Barr

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