Karen Noce

Karen is a Bates Consulting Expert with over 30 years’ experience as an employee and manager in the Compliance and Business Controls departments of a large full-service broker-dealer and investment adviser, which also offers self-directed brokerage and investment advisory services.  She has more than two decades experience drafting and reviewing full service and self-directed broker-dealer policies, written supervisory procedures, and operating procedures (collectively “WSPs”). Karen brings broad knowledge and experience of not only the key supervisory requirements of broker-dealers, but also a deep understanding of how to organize and draft WSPs. She has the expertise to help identify and address potential gaps, and draft and organize WSPs in a manner that is easy to navigate and consume.

Karen has conducted gap analyses on WSPs applicable to various business models, drafted and consulted on WSPs across a wide variety of topics, and implemented structural changes to WSPs to effect greater ease of access and comprehension.