Yvonne Basa, CCO^®

Biography

Yvonne is the firm’s Chief Compliance Officer with primary responsibilities across existing and emerging regulatory compliance requirements in the organization. As one of senior management’s control persons, she serves as an overseer and chief implementor of firm-wide compliance programs to which extent encompasses strategic direction to the firm’s compliance roadmap, providing clear and concise preventive and/or corrective actions, corporate housekeeping efforts related to periodic audits, reviews, or examinations. Her role extends to firm internal compliance review and monitoring activities as well as periodic reviews of departments and/or business units where firm has business representation or client relationships.

With over 10 years of extensive background in various compliance and corporate roles, Yvonne plays a pivotal role in ensuring that the firm adheres to the highest standards of compliance, providing a secure environment for our clients. She diligently monitors and manages due diligence, books and records, and disclosures, ensuring that the firm fully adheres to the prerequisites with respect to rules, regulations, and implements governing the firm’s business operations. Likewise, Yvonne handles the firm’s human resources as well as internal audit departments, including, but not limited to, financials – firm’s bookkeeping and periodic filings, documentations, and submissions to and from the regulators. 

Beyond work, Yvonne enjoys enriching her knowledge through reading and watching documentaries, actively attending continuing education, seminars, or industry conventions and spending quality time with her family.