Cassandra Becker

Chief Compliance Officer and Senior Counsel

Professional Overview

Cassandra Becker is a seasoned legal and compliance professional with over 15 years of experience in the financial services industry. As the Chief Compliance Officer and Senior Counsel at Prosperity Asset Management, she is responsible for developing and overseeing the firm's comprehensive compliance program, ensuring adherence to regulatory requirements, and providing expert legal counsel to the executive team.

Experience Summary

Current Role

Cassandra has served as the Chief Compliance Officer and Senior Counsel at Prosperity Asset Management since August 2024. In this role, she is responsible for managing the firm's compliance function, including the implementation of policies and procedures, staff training, and regulatory reporting. Cassandra also provides strategic legal guidance to the executive team, contributing to the firm's overall risk management and growth initiatives.

Career Progression

Prior to her current role, Cassandra served as a Board Member at ACC Chicago - Association of Corporate Counsel from 2022 to 2024, where she contributed to the organization's policy development and member engagement efforts. She also held the position of Director, Legal & Regulatory at Brookfield Asset Management from 2021 to 2024, where she played a key role in navigating complex regulatory changes and ensuring the firm's compliance with evolving industry standards.

Cassandra's earlier career experience includes roles as Corporate Counsel and Compliance Manager at SBB Research Group, Principal and Practice Counsel at Milliman Financial Risk Management LLC, and Associate at Kirkland & Ellis LLP. She also gained valuable experience as an Attorney in the Division of Enforcement at the U.S. Securities and Exchange Commission (SEC) from 2004 to 2007.

Academic Background

Cassandra holds a Juris Doctor (J.D.) degree from the University of Chicago Law School, where she graduated with honors. She also earned a Bachelor of Arts (B.A.) degree in Economics from the University of Illinois at Urbana-Champaign, where she was recognized for her academic excellence.

Areas of Expertise

Financial services compliance and regulatory affairs

Corporate governance and risk management

Securities law and enforcement

Strategic legal counsel and risk mitigation

Team leadership and project management

Professional Impact

Throughout her career, Cassandra has made significant contributions to the financial services industry. As a Board Member at ACC Chicago, she spearheaded initiatives to enhance professional development opportunities for in-house counsel and promote best practices in corporate compliance. During her tenure at Brookfield Asset Management, Cassandra played a pivotal role in navigating the firm through complex regulatory changes, ensuring its adherence to evolving industry standards.

Conclusion

Cassandra Becker's extensive experience, legal expertise, and commitment to compliance excellence make her a valuable asset to Prosperity Asset Management. Her track record of successful leadership and strategic counsel in the financial services industry positions her to continue driving the firm's compliance efforts and contributing to its long-term growth and success.