Carol Beckett

Product Manager, Examiner
USA

Ms. Beckett is responsible for the creation, management and implementation of the Examiner portfolio strategy. As a former compliance officer, she serves as the applications domain expert on personal securities surveillance and Code of Ethics procedures dictated by the Investment Advisers Act of 1940 (204a-1) and the Investment Company Act of 1940 (17j-1). As the business owner of Examiner, she works with key groups including technology, marketing, sales and client services to ensure continued product development, client satisfaction and effective sales of the product.

Ms. Beckett has over 15 years experience in the financial services industry. Prior to joining Wolters Kluwer Financial Services, she was a Senior Examiner in the Regulatory Oversight group at Scudder, Kemper Investments, Inc. In that role she conducted internal audits of various business units in order to develop compliance procedures and provide recommendations on comprehensively meeting regulatory requirements and industry standards. As compliance officer, she monitored employee trading and reporting requirements by tracking and performing forensic testing on potential conflicts of interest in areas pertaining to employee and firm investments.