Overview
Alex Nguyen is a Manager in the Risk Advisory Services practice at Kaufman Rossin where she brings nearly a decade of financial services experience to her clients.
Currently, she consults with Broker-Dealers, Registered Investment Advisers, and other professionals with a variety of compliance, risk, and regulatory obligations. Additionally, Alex assesses regulatory and compliance risks for firms and assists with the execution and completion of operational, regulatory compliance, and business process control reviews.
Prior to joining Kaufman Rossin, Alex’s professional career spanned several dually registered Broker-Dealers and Investment Advisers, where she served in multiple capacities. Specifically, her experience ranged from leading operational and service teams to counseling clients on the best ways to achieve financial independence through goal-based planning.
Alex is a Certified Anti-Money Laundering Specialist (CAMS) and she earned her Master of Business Administration from DePaul University.
Education
Master of Business Administration, DePaul University
Services
- FINRA & SEC Compliance
- Regulatory Compliance
