Francine Rosenberger
About Francine Rosenberger
Francine Rosenberger serves as the Chief Compliance Officer at Transamerica Asset Management, Inc., bringing over two decades of legal and compliance experience from her previous roles at K&L Gates and Steben & Company.
Work at Transamerica
Francine Rosenberger serves as the Chief Compliance Officer at Transamerica Asset Management, Inc. since 2019. In this role, she oversees compliance operations within the organization, ensuring adherence to regulatory standards and internal policies. Her responsibilities include managing regulatory exams and inquiries from major regulatory bodies such as the SEC, FINRA, CFTC, NFA, and state securities regulators. Rosenberger's position is critical in maintaining the integrity of Transamerica's asset management practices in the Greater Denver Area.
Previous Experience at K&L Gates
Prior to her current role, Francine Rosenberger worked at K&L Gates as a Partner from 1995 to 2013 for 18 years in Washington, DC. During her tenure, she gained extensive experience in various areas of law, including corporate and contracts law. Her work involved advising clients on complex legal matters and contributing to the firm's reputation in the legal community.
Experience at Steben & Company, Inc.
Francine Rosenberger served as General Counsel and Chief Compliance Officer at Steben & Company, Inc. from 2013 to 2019 in Gaithersburg, MD. In this capacity, she was responsible for overseeing legal and compliance matters, ensuring that the company met all regulatory requirements. Her role involved working closely with senior executives and managing a team of legal and compliance professionals.
Education and Expertise
Francine Rosenberger holds a Bachelor of Arts degree in Business and International Relations from Juniata College. She furthered her education by obtaining a Juris Doctor degree from The Catholic University of America, Columbus School of Law. Her academic background supports her expertise in various legal fields, including corporate law, privacy and cybersecurity, intellectual property, and employment law.
Legal and Compliance Expertise
Rosenberger has developed a deep knowledge base in several key areas, including Securities, Asset Management, Broker-Dealer, Investment Advisory, Compliance, Hedge Funds, Commodity Pools, ETFs, and Mutual Funds. Her extensive experience includes working with boards of directors and senior executives, as well as managing teams of attorneys and compliance professionals. This expertise positions her as a knowledgeable leader in the compliance landscape.