Rosemary De Palma, Cams, Cscp Bd
About Rosemary De Palma, Cams, Cscp Bd
Rosemary De Palma serves as the Chief Compliance Officer at Carta, where she has worked since 2023. With over 35 years of experience in the financial industry, she specializes in broker-dealer securities compliance and has a strong background in AML practices.
Work at Carta
Rosemary De Palma serves as the Chief Compliance Officer at Carta, a position she has held since 2023. In this role, she is responsible for ensuring compliance with regulatory standards and managing compliance-related functions within the organization. Her expertise in broker-dealer securities compliance is essential for navigating the complexities of financial regulations in the New York City Metropolitan Area.
Education and Expertise
Rosemary De Palma studied at the University of Phoenix, where she earned a Bachelor of Science in Business Management (BSBM). She also attended Houston Community College, obtaining an Associate of Arts (A.A.). Her educational background supports her extensive knowledge and skills in compliance management, regulatory liaison activities, and customer complaint resolution.
Background
Rosemary De Palma has over 35 years of experience in the financial industry, primarily focusing on broker-dealers. She has a strong background in Anti-Money Laundering (AML) practices and has specialized knowledge in compliance with FINRA and SEC rules. Prior to her current role, she worked at FINRA as an Associate Principal Examiner for 11 months, where she gained valuable insights into regulatory compliance.
Achievements
Throughout her career, Rosemary De Palma has developed extensive experience in handling audits and CEO certification processes. She has acted as a regulatory liaison, facilitating communication between organizations and regulatory bodies. Her skills in managing customer complaints and utilizing the CRD system further enhance her effectiveness in compliance roles.