As a Director in Pathstone’s Compliance Department, Rebecca oversees all aspects of day-to-day compliance responsibilities and testing, ensuring the firm and its employees are complying with our outside regulatory and legal requirements as well as our internal policies and procedures.

Prior to joining Pathstone, Rebecca served as an Assistant Vice President and Operations Manager for EV WaterOak Advisors. Before that, she served as a Chief Compliance Officer and Office Manager at WaterOak Advisors and spent over 10 years with Fiserv in various roles of Project Manager, Portfolio Coordinator, and Executive Assistant.

Rebecca earned her Associate and Bachelor of Science Business & Information Management degrees from Seminole State College, graduating Summa Cum Laude. She is a member of Phi Theta Kappa and holds the Investment Adviser Certified Compliance Professional (IACCP®) designation. A native of Merritt Island, Rebecca still resides there with her husband and son. She enjoys spending time with her family, cooking, and staying active.

The Investment Adviser Certified Compliance Professional® (IACCP®) designation is sponsored by Comply and the Investment Adviser Association for individuals who complete 40 hours of an online and/or in-person program of study, pass a certifying examination, and meet its work experience, ethics, and continuing education requirements.

Participants receive a compliance education based on a solid understanding of regulations and rules with which all investment advisers must comply. The program curriculum includes an examination of the Investment Advisers Act of 1940 and related state and federal regulations, provides guidance for building a strong compliance program, and highlights firm best practices.