Rebecca Judd
IACCP®
Director
- Shareholder
As a Director in Pathstone’s Compliance Department, Rebecca oversees all aspects of day-to-day compliance responsibilities and testing, ensuring the firm and its employees are complying with our outside regulatory and legal requirements as well as our internal policies and procedures.
Prior to joining Pathstone, Rebecca was an Assistant Vice President and Operations Manager for WaterOak Advisors. Before that, she served as a Chief Compliance Officer and Office Manager and spent over 10 years with Fiserv in various roles of Project Manager, Portfolio Coordinator, and Executive Assistant.
Rebecca earned her AA and is completing her Bachelor of Science in Business & Information Management at Seminole State College. She holds the Investment Adviser Certified Compliance Professional (IACCP®) designation. Rebecca grew up and currently resides in Merritt Island with her husband and son. She enjoys spending time with her family, cooking, and working out.
The Investment Adviser Certified Compliance Professional® (IACCP®) designation is sponsored by Comply and the Investment Adviser Association for individuals who complete 40 hours of an online and/or in-person program of study, pass a certifying examination, and meet its work experience, ethics, and continuing education requirements.
Participants receive a compliance education based on a solid understanding of regulations and rules with which all investment advisers must comply. The program curriculum includes an examination of the Investment Advisers Act of 1940 and related state and federal regulations, provides guidance for building a strong compliance program, and highlights firm best practices.
Group
Certification
Office
As a Director in Pathstone’s Compliance Department, Rebecca oversees all aspects of day-to-day compliance responsibilities and testing, ensuring the firm and its employees are complying with our outside regulatory and legal requirements as well as our internal policies and procedures.
Prior to joining Pathstone, Rebecca was an Assistant Vice President and Operations Manager for WaterOak Advisors. Before that, she served as a Chief Compliance Officer and Office Manager and spent over 10 years with Fiserv in various roles of Project Manager, Portfolio Coordinator, and Executive Assistant.
Rebecca earned her AA and is completing her Bachelor of Science in Business & Information Management at Seminole State College. She holds the Investment Adviser Certified Compliance Professional (IACCP®) designation. Rebecca grew up and currently resides in Merritt Island with her husband and son. She enjoys spending time with her family, cooking, and working out.
The Investment Adviser Certified Compliance Professional® (IACCP®) designation is sponsored by Comply and the Investment Adviser Association for individuals who complete 40 hours of an online and/or in-person program of study, pass a certifying examination, and meet its work experience, ethics, and continuing education requirements.
Participants receive a compliance education based on a solid understanding of regulations and rules with which all investment advisers must comply. The program curriculum includes an examination of the Investment Advisers Act of 1940 and related state and federal regulations, provides guidance for building a strong compliance program, and highlights firm best practices.
