SUZANNE HAMMER

Chief Compliance Officer

“Strong compliance isn’t a constraint on serving clients well. It’s the foundation of the trust that makes it possible.”

22 years of compliance experience and more than 25 years in the financial services industry
Most recently a Director at Vigilant Compliance LLC, where she developed, tested, and monitored compliance programs for registered investment advisers, including 206(4)-7 annual compliance reviews and 38a-1 compliance program reviews
Has served as Chief Compliance Officer for registered investment advisers serving individuals, high-net-worth families, institutions, charitable organizations, registered investment companies, and private funds
Former Compliance and Regulatory Relations Director at Morgan Stanley, where she coordinated the firm’s responses to securities regulators including the SEC, CFTC, FINRA, and self-regulatory organizations, and earlier a Compliance
Manager at Armstrong Shaw Associates, an SEC-registered investment adviser
Began her career as a Portfolio Manager and Vice President of money market funds and short-term investments at Alliance Capital Management; holds a BA from Saint Michael’s College

22

Years of Experience in Compliance

Purposeful investing and Family Office leadership that protects your continuity across generations.