Klingenstein Fields Wealth Advisors (KFWA), a wealth management firm with more than $3 billion in assets under management, has promoted Maria Chambers to chief compliance officer.
Chambers’ responsibilities include administering KFWA’s compliance program, overseeing day-to-day compliance needs, maintaining and developing compliance policies, procedures, and processes. Chambers joined KFWA in 2014 as deputy chief compliance officer with broad-based experience in investment management compliance.
Before joining KFWA, she was a vice president and senior compliance officer at Guggenheim Partners Investment Management, where she and her team were responsible for investment guidelines and trade compliance, compliance risk assessment, overseeing annual review and testing, as well as mutual fund reporting and functioning as a general resource to investment management personnel.
Prior to that, Chambers was a compliance officer at Morgan Stanley Investment Management, overseeing the compliance program for the firm’s ultra-high net worth custom separately managed account and wrap account platforms, representing compliance in the strategic acquisitions of advisers and managing a team responsible for the North American compliance risk assessment and testing program and sub-adviser oversight.
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