Betty Valouktzis is a director in the Financial Services Compliance and Regulation practice at Kroll, based in the New York office. With more than a decade of compliance experience, she focuses on serving clients who need informed and proven strategies to successfully navigate through compliance examinations or to make sure their firms are exam ready. Betty offers a strong combination of expertise and experience in U.S. securities law, regulatory compliance and corporate governance.
Betty joined the firm through the acquisition of CounselWorks in 2016. Prior to CounselWorks, Betty was a compliance officer at Diamondback Advisors. In her previous role at Diamondback Advisors, she developed, enforced and continuously strengthened compliance program of a multi-strategy registered investment advisor, in accordance with the Investment Advisers Act, in particular Rule 206(4)-7. She collaborated regularly with the chief technology officer, IT developers and the operations department to develop efficient and automated solutions for surveillance and testing of the advisor’s compliance program to monitor and prevent violations of the Investment Advisers Act and the advisor’s policies and procedures.
Betty provides compliance guidance and full support to investment advisors, including private equity firms, hedge funds, wealth advisors and FINRA members. She has led and supported numerous regulatory examinations involving a wide variety of regulatory questions across different areas of compliance, preparing key personnel for compliance regulatory interviews and drafting responses to regulators.
Betty also advises on issues relating to material non-public information, including engaging expert networks and other research consultants. She handles ad-hoc compliance questions and provides appropriate advice on issues arising from, for example, conflicts of interest, fees and expenses, outside business activities, Custody Rule obligations or fiduciary duty obligations. Further, she ensures clients compliance with advertising and cash solicitation rules. Betty works with clients to develop, enforce and continuously strengthen their compliance programs. She helps them to evaluate whether they foster a strong compliance culture and whether key personnel set, and follow, a tone-at-the-top that is commensurate with a strong ethical and compliance environment—which in turn is reasonably designed to detect and prevent misconduct.
Betty holds a bachelor’s degree in business management from Gorzow Wielkopolski University in Poland and a master’s degree in finance from the University of Szczecin in Poland.