Kathleen Ujvari specializes in control and SEC and FINRA regulatory compliance services. Ms. Ujvari has worked on large scale regulatory compliance engagements with insurance, bank, retail, and limited purpose broker-dealer firms and variable product sponsors in regulatory remediation efforts, evaluating and enhancing supervisory, compliance, and recordkeeping systems, and assisting in developing and implementing protocol to address new and amended regulatory requirements.
Prior to her professional career with the Big Four firms, Ms. Ujvari was a Senior Compliance Examiner at the SEC where she performed a lead role in establishing the SEC’s variable product back-office administrative and sales practice examination programs. She also conducted compliance examinations of variable product entities and broker-dealer firms, and played an integral role in the SEC’s limited inspection of variable product market conduct and sales practices.