Cari A. Hopfensperger
Cari A. Hopfensperger is a Managing Director at Hardin Compliance Consulting LLC. With twenty-four years of experience, Ms. Hopfensperger has an extensive background in regulatory compliance and all aspects of investment advisory operations. 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. Cari has been recognized by JD Supra as among the top ten authors writing on compliance issues in 2019 and 2020.
Prior to joining Hardin Compliance Consulting, Ms. Hopfensperger was the head of fund services, Chief Compliance Officer and manager of operations for Advisory Research, Inc., a Chicago-based SEC registered investment adviser. During her tenure with the firm, Ms. Hopfensperger led the firm’s compliance program, risk management and operations efforts, and provided oversight for its fund business, which included mutual funds, private funds and Irish-UCITS funds. Previously, Ms. Hopfensperger managed 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) and currently serves as co-chair of the NSCP Publications Committee and chair of its professional development sub-committee.Back to Team Page