Vinita Paul Email & Phone Number

For over 15 years, I have managed legal and compliance matters and programs for numerous investment advisors, investment companies and broker dealers. I have also overseen and reviewed investment advisor and mutual fund operations. My regular responsibilities involve managing routine regulatory exams, including gathering requested information and participating in interviews with regulators. In addition, I provide advice and guidance on legal matters, including, but not limited to, vendor oversight and contract matters, regulatory filings and employment matters and manage interactions with external counsel.I have served on executive management teams as well as serving in various supervisory roles, like the branch supervisor for a broker dealer. Leading the marketing teams through production, digital marketing initiatives and PR goals has also encompassed a portion of my responsibilities over the years. This along with managing recruiting, hiring and retention efforts have helped round out my years of experience in the financial services industry.I am a registered representative of ALPS Distributors, Inc., which is the distributor for the Heartland Funds.

Listed skills include Mutual Funds, Investments, Asset Management, Equities, and 3 others.