Profile
Ms. Carol Weiss is Chief Compliance Officer at KWK Management LLC.
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 received a BS in Business Administration from California State University, Fullerton.
Former positions of Carol Kim Supancheck Weiss
| Companies | Position | End |
|---|---|---|
Financial Industry Regulatory Authority, Inc.
 Financial Industry Regulatory Authority, Inc. Miscellaneous Commercial ServicesCommercial Services Financial Industry Regulatory Authority, Inc. engages in the provision of securities regulation, complementary compliance, and technology-based services. Its services include writing and enforcing rules governing the activities of securities firms with brokers, examining firms for compliance with those rules, fostering market transparency, and educating investors. The company was founded in 2007 and is headquartered in Washington, DC. | Corporate Officer/Principal | 2004-12-30 |
Training of Carol Kim Supancheck Weiss
| California State University-Fullerton | Undergraduate Degree |
Experiences
Positions held
Active
Inactive
Listed companies
Private companies
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Private companies | 1 |
|---|---|
Financial Industry Regulatory Authority, Inc.
Financial Industry Regulatory Authority, Inc. Miscellaneous Commercial ServicesCommercial Services Financial Industry Regulatory Authority, Inc. engages in the provision of securities regulation, complementary compliance, and technology-based services. Its services include writing and enforcing rules governing the activities of securities firms with brokers, examining firms for compliance with those rules, fostering market transparency, and educating investors. The company was founded in 2007 and is headquartered in Washington, DC. | Commercial Services |
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