Bates News | 12-18-20
Bates Compliance Welcomes New Senior Consultant Kent Keister, IACCP®
Bates Compliance is proud to welcome new Senior staff Compliance Consultant Kent Keister. Based in Columbus, Ohio, Mr. Keister leverages more than 17 years of experience working in the financial services compliance field assisting investment advisers, broker-dealers and wealth management organizations in navigating complex issues. Mr. Keister specializes in Registered Investment Adviser (RIA) compliance program development and regulatory exam coordination, as well as FINRA branch examinations protocol and supervisory activities, including on-site exams. Prior to joining Bates, Mr. Keister served as Director of Compliance for a fee-only, SEC-Registered Investment Adviser, where he was responsible for creating, implementing, and executing the firmwide compliance program. He currently holds the Investment Adviser Certified Compliance Professional (IACCP®) designation and is a member of the National Society of Compliance Professionals (NSCP) and the Central Ohio Compliance Association (COCA). Welcome Kent!