Kathleen Hart
About Kathleen Hart
Kathleen Hart is a Securities Compliance Examiner at the U.S. Securities and Exchange Commission, where she has worked since 2015. She studied at California Polytechnic State University - San Luis Obispo from 1993 to 1996.
Work at U.S. Securities and Exchange Commission
Kathleen Hart has been employed at the U.S. Securities and Exchange Commission (SEC) since 2015. In her role as a Securities Compliance Examiner, she is responsible for ensuring that securities firms comply with federal regulations. Her work involves conducting examinations, assessing compliance programs, and identifying potential violations of securities laws. Based in Washington, D.C., she contributes to the SEC's mission of protecting investors and maintaining fair, orderly, and efficient markets.
Education and Expertise
Kathleen Hart attended California Polytechnic State University in San Luis Obispo from 1993 to 1996. During her three years of study, she gained foundational knowledge and skills relevant to her career in securities compliance. This educational background supports her expertise in regulatory frameworks and compliance practices within the financial sector.
Background
Kathleen Hart has a background in securities compliance, with a focus on regulatory examination and enforcement. Her career at the SEC spans over nine years, during which she has developed a deep understanding of the complexities of securities regulations. Her role requires attention to detail and a commitment to upholding the integrity of the financial markets.
Professional Experience
Since joining the SEC in 2015, Kathleen Hart has accumulated extensive experience in the field of securities compliance. Her responsibilities include evaluating compliance programs and conducting thorough examinations of registered entities. This professional experience has positioned her as a knowledgeable resource within the regulatory community.