As a Compliance Specialist for Pure Financial Advisors, Kristen supports the Chief Compliance Officer in matters such as developing and monitoring the firm’s compliance program and executing tests of policies and procedures. She also coordinates day-to-day reviews, needed resolutions, and follows up with the needs of the business. Prior to joining Pure, she worked for LPL Financial as a Compliance Associate Analyst where she held the FINRA Series 7 license. In her previous role, Kristen trained employees on system use and processes, analyzed reports for adherence to Code of Ethics policies, handled escalation inquiries, and was a point of contact for both internal employees and advisors. She earned her Bachelor of Arts in Political Science from the University of Hawaii at Manoa and completed the American Bar Association (ABA) Approved Paralegal Program at UC San Diego. Through this program, she was trained in critical skills such as investigation, legal research, and general principles of ethical legal practices.
In her free time, Kristen enjoys spending time with her family, reading, and tending to her garden.