Deb Quach Beck
About Deb Quach Beck
Deb Quach Beck serves as the Chief Compliance Officer at Carta Securities, LLC, where she has developed compliance structures and authored policies to maintain regulatory standards. With extensive experience in compliance and risk evaluation, she holds a Certified Anti-Money Laundering Specialist certification and has worked in various financial institutions throughout her career.
Work at Carta
Deb Quach Beck has held the position of Chief Compliance Officer at Carta Securities, LLC since 2020. In this role, she developed compliance structures from scratch and authored policies and procedures to maintain a compliant environment. She is responsible for evaluating business risk and establishing compliance goals and objectives. Additionally, she serves as the primary liaison between regulators and Carta Securities during examinations and inquiries, ensuring adherence to SEC, FINRA, and state regulations.
Education and Expertise
Deb Quach Beck studied at the University of Utah, where she earned a degree in Finance from 2002 to 2006. She holds a Certified Anti-Money Laundering Specialist (CAMS) certification, which underscores her expertise in anti-money laundering practices. This educational background and certification contribute to her effectiveness in compliance roles within the financial sector.
Background
Before joining Carta, Deb Quach Beck worked at Alpine Securities as the Director of Surveillance and Compliance Officer from 2017 to 2018. Her earlier experience includes roles at Wells Fargo Advisors as a Trading Representative III from 2010 to 2012, and at Morgan Stanley as a Central Review Trade Analyst from 2012 to 2017. She also worked as a Registered Representative at E*TRADE from 2009 to 2010. This diverse background in various financial institutions has equipped her with a comprehensive understanding of compliance and regulatory requirements.
Achievements in Compliance
In her role at Carta Securities, Deb Quach Beck has made significant contributions to the compliance framework by developing policies and procedures that address regulatory requirements. She ensures that the firm meets compliance standards and effectively addresses any identified deficiencies or gaps. Her proactive approach in establishing compliance goals has been instrumental in fostering a compliant environment at Carta.