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| Executive Profiles: Our management team. |
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Christy Clifton oversees the national auditing program for ComplianceMAX Financial. In this capacity, Christy is responsible for managing national audit client relationships, hiring, training and supervising the audit team and logistics management. Under her supervision ComplianceMAX Financial delivers thousands of home office and branch inspections for Broker-Dealers, Investment Advisers and Hedge Funds.
Prior to ComplianceMAX Financial, Christy had a successful career as compliance auditor/consultant for Monahan & Roth, LLC. Christy's career in compliance began at Capstone Investments in Operations, overseeing client relations, trade order management and general compliance.
Christy holds a Communications degree from California State University and Securities Licenses 7, 27 and 66.
Email Christy Clifton at christy.clifton@compliancemax.com. |
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