Kristin D. Fazio
Chief Compliance Officer
Kristin Fazio, IACCP®1 serves as the Chief Compliance Officer at Ropes Wealth, where she is responsible for designing, implementing, managing and monitoring the firm's compliance program. This includes, creating, maintaining and monitoring policies and procedures for compliance with current regulations and industry best practices, ensuring all regulatory reports are properly prepared and filed on a timely basis, leading in-house compliance education efforts across the firm and implementing an effective compliance testing regimen. Kristin is the administrator and member of the Business Oversight Committee and serves as a member of the Investment Policy Committee. She is also a key contributor to the firm’s business development and strategic planning initiatives.
As Compliance Officer for Ropes & Gray LLP, Kristin prepared for the transition of the law firm’s trust and trust-related assets to management by Ropes Wealth Advisors, LLC, a newly formed registered investment adviser and affiliate of Ropes & Gray LLP. In this capacity, she prepared all regulatory filings, collaborated with counsel on the creation of governing documents and investment management agreements, conducted education and training on a registered investment adviser environment, and built the compliance program.
Kristin was the Chief Compliance Officer for Silver Bridge Capital Management LLC and the Director of Risk Management for Silver Bridge Advisors LLC, (collectively “Silver Bridge”), which was acquired by Banyan Partners in 2013. Prior to joining Silver Bridge, Kristin was a Senior Consultant at Navigant Consulting, Inc.
Kristin graduated cum laude from the Wallace E. Carroll School Management at Boston College with a BS degree in Economics and Business Administration. She is a member of the New England Broker Dealer Investment Adviser Association (“NEBDIAA”). Kristin resides in Marblehead with her husband and five young children, and enjoys spending weekends with them in New Hampshire, skiing and hiking whenever possible.
1 Investment Adviser Certified Compliance Professional ® (IACCP ®) designation is issued by a Certificate Program co-sponsored by Investment Adviser Association (IAA) and National Regulatory Services (NRS). Candidates must complete a series of eight courses or may apply for waiver status for certain select courses bases on education, training and/or experience. Candidates are required to attest to and abide by the NRS Center for Compliance Professional’s Code of Ethics and Professional Standards of Conduct. Two years of full-time professional work experience, as defined in Definition of Acceptable Work Experience, are required before the Investment Adviser Certified Compliance Professional designation can be awarded. Candidates must pass the Certifying Examination. To maintain certification, candidates are required to complete twelve (12) professional continuing education credits each year. Two of the twelve credits must be earned by attending an approved ethics course(s). All credits can be earned by attending approved educational events offered through the Center or other industry education providers.