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Carol Weiss
Chief Compliance Officer

Carol Weiss has over 12 years of Compliance and Operations experience, primarily in the securities industry.  Ms. Weiss joined KWK Management as Chief Compliance Officer in 2005.  During her tenure with KWK Management, she has developed a comprehensive compliance program, including the implementation of compliance policies and procedures, monitoring programs, and other internal controls.  Prior to joining KWK Management, Ms. Weiss was a Senior Compliance Examiner with FINRA (previously NASD) for six years, where she led routine and special examinations of member firms’ financial, sales, trading, underwriting and supervisory practices.  Prior to joining FINRA, Ms. Weiss held various operational management roles for companies in the mortgage industry.  Ms. Weiss holds a BS in Business Administration from California State University, Fullerton.




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