Caryn Miller is a Bates Compliance consultant based in New York City and Los Angeles. Caryn joined Bates Group after nearly 22 years at Bank of America Merrill Lynch that were divided almost equally between positions in Legal and Compliance. Her previous roles—spanning 20 years—included legal positions with the U.S. Securities and Exchange Commission, Division of Investment Management (New York), another dual registrant broker-dealer/investment adviser (Oppenheimer & Co., Inc.), and two major New York law firms (Morgan, Lewis & Bockius and Dewey LeBoeuf). She is an accomplished financial services specialist with extensive experience in the retail broker-dealer/investment advisory and mutual fund fields.
At Merrill Lynch, Ms. Miller most recently acted as Managing Director and Compliance Executive. During her tenure at Merrill Lynch, she focused on fee-based brokerage and investment advisory programs and has substantial experience in establishing compliance routines and governance processes for these programs as well other retail products and services (for example, institutional retirement employee benefit plans, personal retirement products, and off-shore trust accounts). Ms. Miller’s responsibilities, both individually and as supervisor, have also included identifying and advising regarding conflicts of interest and addressing regulatory changes such as those relating to the Department of Labor fiduciary rule, the municipal advisor registration rule, “pay to play” statutes, and revisions to Form ADV Parts 2A and 2B. During her career, Ms. Miller has developed a wide range of written compliance and supervisory policies and procedures, conducted numerous compliance oversight reviews, participated in regulatory examinations, and prepared responses to requests from the SEC, FINRA, and other regulators.
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