Rachel Umipig

Rachel Umipig

Chief Compliance Officer

Ms. Umipig serves as chief compliance officer for KBS. Ms. Umipig is responsible for overseeing and managing the compliance program for the advisors. Her main responsibilities are to ensure that federal and state securities regulatory requirements of the advisors and its employees, policies and procedures are being followed.

Ms. Umipig has over 20 years of regulatory and private industry experience and most recently served as a principal examiner for Financial Industry Regulatory Authority, Inc. (FINRA). During her tenure in the private industry, she held various roles in compliance management overseeing a variety of areas, including regulatory and internal examinations, product due diligence, transaction review, anti-money laundering and conducting annual compliance meetings.

Ms. Umipig graduated from Long Beach State University with a bachelor’s degree in finance.

Contact Rachel Umipig

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