Cara M. Cawood
Senior Compliance Consultant
Cara M. Cawood is a Senior Compliance Consultant at Hardin Compliance Consulting. She has worked in the securities industry since 2008 with experience in state, SEC and FINRA registration, writing and developing compliance programs, and regulatory exams. She focuses on addressing various risks related to client specific business models, performing compliance testing and reviews, and providing valuable input for a complete and effective compliance program.
Prior to joining Hardin Compliance Consulting, LLC in 2017, Ms. Cawood held various compliance positions including Chief Compliance Officer for a small investment adviser and broker-dealer. In this role, she also worked with an affiliate real estate company in their sale of private placements through the broker-dealer. She served as CCO for a start-up Registered Investment Adviser, working to ensure licensing, registration, and set up of the compliance program was adapted to fit the structure of the firm.
Ms. Cawood holds her Series 7, 66 and 24 securities licenses. She graduated cum laude from John Carroll University in 2007 with a bachelor of science in Mathematics.Back to Team Page