Theresa M. Sekely
Theresa M. Sekely is a Compliance Consultant at Hardin Compliance Consulting LLC. Ms. Sekely has over 20 years of experience in the financial securities industry, with the majority of that time focused on investment adviser and broker-dealer regulatory compliance. Ms. Sekely specializes in the development, ongoing maintenance and testing of compliance programs, drafting of policies and procedures as well as the registration of investment advisers. Ms. Sekely counsels investment advisers and private fund managers on a wide variety of investment management topics, including risk management, compliance with SEC regulations, regulatory examinations and evaluation of compliance programs.
Prior to joining Hardin Compliance Consulting LLC, Ms. Sekely served as the Chief Compliance Officer for an investment advisory firm and as a Compliance Officer for a limited broker-dealer. In this role she was responsible for all aspects of the firm’s compliance program. This included development and testing of the policies and procedures and the code of ethics, along with maintaining the firm’s disclosure brochures, regulatory filings, employee education and maintaining both firm and employee registrations. In her role with the broker-dealer she maintained the compliance program for an investment banking firm focusing on the sale of real estate private placements. This included maintaining the firm’s compliance records, preparing needs assessment, and reviewing marketing materials. She was responsible for submitting all required filings, including notification fillings, the annual audit and focus reports. Ms. Sekely also served as the lead on the surprise custody audits and SEC and FINRA examinations.
Ms. Sekely holds her Series 7, 65, 66, 79, and 99 securities licenses. She received a Bachelor of Science in Mathematics and Business from the University of Pittsburgh and also obtained an Accounting Certificate from the University of Pittsburgh.Back to Team Page