- November 11, 2016
- Posted by: ars
Founder and President
Ms. McManus has over twenty-five years’ experience in fixed income compliance, with specific expertise in the municipal market.
Prior to establishing Alternative Regulatory Solutions, LLC (ARS), Kim was a Managing Director of Municipal Compliance with Wachovia Corporation (including its predecessor firms and currently Wells Fargo), where she worked for eighteen years. She was responsible for assessing and managing regulatory risk for public finance/government banking, bond trading and syndicate, sales (both institutional and retail), operations, and derivative/structured products within the Municipal Products Group. Kim was extremely instrumental in positive outcomes regarding regulatory exams, inquiries and investigations with the IRS, SEC, OCC, DOJ, FINRA and States Attorney General Offices. She also worked for Chase Manhattan Bank and Bankers Trust.
Kim has been involved in the SEC MCDC initiative in the role as an independent consultant to many broker dealer firms and provides compliance support for independent municipal advisors and broker dealers. She has been sought to speak as an industry professional by FINRA and other trade organizations and has been hired to act as an expert witness within the industry for several broker dealer firms.
Kim has been recognized by the National Association of Professional Women for her demonstrated excellence and dedication within her profession and maintains Series 7, 24, 27, 53, and 79 securities license designations. She received her Bachelor of Science degree in Finance from Georgetown University.