Sarah R. D’Amico, IACCP
Sarah D’Amico is a Managing Director with Hardin Compliance Consulting LLC. She specializes in developing and testing compliance programs, evaluating internal controls, and drafting compliance policies and procedures for investment advisers and broker-dealers. She counsels investment advisers and private fund managers on matters including securities regulations, SEC and FINRA registration, regulatory exams, compliance program development, risk assessments and ongoing due diligence and annual reviews.
Prior to joining Hardin Compliance Consulting LLC, Ms. D’Amico provided compliance consulting services to registered investment advisers and registered investment companies in various capacities, including Chief Compliance Officer for several SEC Registered Investment Advisors and Registered Investment Companies. She also has experience as a Compliance Officer at Merrill Lynch and was previously a mutual fund wholesaler at The Hartford Funds.
Ms. D’Amico holds her Series 7 and 63 securities licenses. She also holds the designation Investment Adviser Certified Compliance Professional from National Regulatory Services, Inc. She graduated from the University of Pittsburgh with a bachelor of science in business administration, majoring in accounting.Back to Team Page