Carolyn W. Mendelson
Senior Compliance Consultant
Carolyn W. Mendelson is a Senior Compliance Consultant at Hardin Compliance Consulting. She is a securities and regulatory compliance attorney with more than twenty years of experience in broker-dealer and investment adviser compliance. Ms. Mendelson counsels clients on their compliance programs, policies and procedures, and regulatory examinations.
Before joining Hardin Compliance Consulting, and for fourteen years, Ms. Mendelson was a state securities regulator and enforcement attorney for the Pennsylvania Department of Banking and Securities, formerly known as the Pennsylvania Securities Commission. As a securities enforcement attorney, she pursued regulatory enforcement actions against broker-dealers, investment advisers, and issuers. While a regulator, Ms. Mendelson also was a regular and active participant in the North American Securities Administrators Association. Her prior experience also includes working as a compliance attorney for two broker-dealers at the PNC Financial Services Group, Inc. As a corporate compliance attorney, Ms. Mendelson led the customer complaint reporting and resolution program and managed federal regulatory examinations, drafted compliance policies, reviewed and filed advertising materials, and provided day-to-day regulatory advice to the firms.
Ms. Mendelson is licensed to practice law in Pennsylvania and graduated with a Juris Doctor and a Master of Business Administration from the University of Pittsburgh School of Law and the Katz Graduate School of Business in 1994. In 1991, she earned a Bachelor of Arts in Economics and Political Science from the University of Rochester.
Ms. Mendelson also holds a part-time appointment as a Lecturer in Business Law for the Katz School of Business where she teaches commercial law curriculum to MBA and accounting students.Back to Team Page