As Director of Compliance, Carolyn is Cantella’s key regulatory liaison and is responsible for monitoring the industry’s ever-changing regulatory landscape to ensure our policies and procedures are consistent with new regulations. She believes in working collaboratively with advisors in a way that complements the way they serve clients.

Carolyn develops, implements, and communicates compliance controls and processes, and leads the team that handles customer complaints, home office surveillance (B/D, IA and Hybrid Models), branch audits, and regulatory inquiries and filings.

Carolyn has over 15 years of experience in financial industry compliance, with stints at John Hancock, FINRA, Nationwide, MetLife, and Signator Investors, Inc. She holds FINRA Series 6, 7, 24, 63, and 65 designations, as well as a degree in Psychology with a minor in Management/Organization from Spelman College.

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