We knew that there was no one better qualified to oversee the compliance and regulatory aspects of our firm.
North Little Rock, AK (PRWEB) June 23, 2014
Kimberly L. Collins has joined Sowell Management Services, a fee-based third-party investment management firm, as Chief Compliance Officer. In her new role, Collins, who is the founder and president of Compliance Resource Partners, Inc., will oversee the firm’s compliance and regulatory issues.
Collins had worked with Sowell Management Services on a consulting basis for six years, and firm founder Bill Sowell was confident that she was the natural choice to fill the essential compliance role. “We had been working with Kim for so long that she already felt like part of our team,” he said. “We knew that there was no one better qualified to oversee the compliance and regulatory aspects of our firm.”
Collins has more than two decades of experience providing comprehensive compliance services to broker/dealers and investment advisors, including assisting firms with FINRA and SEC registration, performing compliance and anti-money-laundering reviews, and completing branch office audits. Prior to starting her consulting business, Collins worked as a compliance examiner with NASD Regulation, Inc., where she performed routine examinations of all areas of a member’s business.
About Sowell Management Services
Sowell Management Services is a fee-based third-party management firm with investment portfolios for individuals, retirement plans, corporations, trusts, foundations and institutions. As a third-party manager, Sowell Management Services manages assets for industry professionals through a network of some of the industry’s largest and most respected independent broker/dealers. To learn more, visit http://www.sowellmanagement.com.
7301 River Pointe Drive
North Little Rock, Arkansas 72113