Nicole serves as Executive VP, Custody Asset Movement & Control, where she oversees end-to-end processes related to cash movement, ensuring accuracy, security, and compliance with all applicable regulations. With a specialized focus in cash controls, fraud prevention, and risk management, she plays a critical role in driving operational excellence and client trust.
She has developed and implemented comprehensive systems of internal controls designed to safeguard client assets, prevent fraud, and ensure compliance across all cash movement functions.
She holds the FINRA Series 27 license, the Certified Treasury Professional Credential (from the Association for Financial Professionals), and brings over 20 years’ experience to our firm. Known for a long-standing reputation of precision, reliability, and upholding best practices, Nicole brings both strategic insight and commitment to our firm.