Cari A. Hopfensperger
Senior Compliance Consultant
Cari A. Hopfensperger is a Senior Compliance Consultant at Hardin Compliance Consulting LLC. She has worked in the securities industry for more than twenty years and has an extensive background in regulatory compliance and all aspects of operations for investment advisers. Her areas of expertise include operational and compliance strategy, drafting policies and procedures, assessing risk, evaluating internal controls and managing relationships with third party service providers and other intermediaries.
Prior to joining Hardin Compliance Consulting, Ms. Hopfensperger was the head of fund services for Advisory Research, Inc., a Chicago-based SEC registered investment adviser where she provided financial, operational and general oversight for its fund business, which included mutual funds, private funds and Irish-UCITS funds. During her tenure with the firm, Ms. Hopfensperger also held the positions of manager of operations and Chief Compliance Officer, spending ten years developing and then leading the firm’s compliance program and risk management efforts. Previously, Ms. Hopfensperger spent several years managing operations and client service for Lake Forest Capital Management Co., a boutique registered investment adviser.
Ms. Hopfensperger received a bachelor of arts in English from the University of Wisconsin-Madison and a master of business administration from Keller Graduate School of Management, Schaumberg, Illinois. She is a member of the National Society of Compliance Professionals (NSCP).Back to Team Page