Ann Marie Swanson

Ann Marie leverages over 25 years of experience as a Compliance and Legal Executive, advising registered investment advisers (RIAs) managing private funds (domestic and offshore), including those private funds with ERISA assets, mutual funds, collective investments funds, exchange-traded funds and separately managed accounts for retail, high-net-worth and institutional investors. She specializes in building and strengthening compliance and risk infrastructures to meet business and regulatory demands.

Prior to joining Kroll, Ann Marie worked as a Consultant at ACA, where she advised both small and large firms primarily regulated by the SEC. Before that, she served as Chief Compliance Officer at an RIA in Boston. She held senior-level positions at several firms including Alaric Compliance, Thomas Partners (wholly owned by Schwab), Commonwealth Financial Network, Transamerica, and Post Advisory Group. In these roles, she acquired significant experience, leading examinations undertaken by the SEC and Financial Industry Regulatory Authority (FINRA).

Ann Marie enjoys reading and time playing tennis, skiing, hiking and many other forms of exercise. She is also learning Spanish.

Ann Marie holds a B.A. with Honors from the University of Massachusetts, Amherst. She also has a Juris Doctor degree from Suffolk University Law School. She is licensed to practice law in Massachusetts. Ann Marie has also passed the FINRA Securities Industry Essentials Exam.