Senior Compliance Adviser
Chè Rodgers has over 25 years of experience as a Compliance Officer in the financial services industry. Ms. Rodgers has held Senior roles in institutional, investment advisory and financial retail firms in the heart of New York City.
Ms. Rodgers first began her career on Wall Street where she worked in the financial retail space. She then went on to hold roles at several large institutional firms including broker-dealers and investment advisors. She has enjoyed both the buy and sell sides of the business.
Compliance Skills & Programs
- Code of Ethics – apply rules & regulations; compose & update the Code; distribution to employees; new employee orientation & onboarding
- Annual Reviews – Conduct annual reviews of firm & department level compliance programs; implement updates based on findings; annual review of mutual fund trust
- Annual Compliance Training – Conduct SEC mandated annual firm training for all employees
- Employee Trading – review all personal financial trades made by employees; receive and review employee financial statements; monitor for trading irregularities
- Quarterly Reporting – reporting for clients and family of mutual funds
- Proxy Voting – review research on portfolio-held companies; provide portfolio managers with pertinent information on issues up for vote; submit votes to complete proxy voting process
- Due Diligence – Compliance review of due diligence questionnaires
Outside of FiSolve, Ms. Rodgers also is the owner and Chief Executive Officer of AmaWork Inc., where she is a Strength Coach and Personal Trainer. Ms. Rodgers devotes her time as a volunteer coach for the Coleman Young II Educational Foundation’s young entrepreneur program for Detroit public high school students of color. She has helped them to strengthen their creative business skills, personal confidence, and presentation abilities as they develop their product apps from idea to reality.
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