Ms. Kaufman has extensive experience in fixed income compliance, with specific expertise in the municipal market. At ARS, Maria is responsible for the registration of all clients including, but not limited to, preparing and updating Forms BD, U-4, U-5, MA, MA-I and ARD. Maria is also a member of the Surveillance Team involved in all aspects of compliance for both broker dealers and municipal advisors.
Prior to joining ARS, Maria had over fifteen years’ experience working in the audit and compliance departments of various national banks and regional broker dealers. In her previous role as Vice President – Regulatory Risk Manager of the Fixed Income Department of LaSalle Financial Services, Inc., Maria worked directly for business line management, advising them on firm policies and procedures, regulatory requirements and industry best practices. Maria was responsible for monitoring the fixed income sales, trading and underwriting activities of the firm to ensure compliance with MSRB, FINRA and SEC regulations. Maria was also responsible for responding to regulatory inquiries, coordinating internal and external audits and interacting with federal and state regulators. She also served as a member of the firm’s Trading Committee.
Maria received her BS in Finance from Loyola University.