Tricia Zehr, Chief Compliance Officer
Professional Overview
Tricia Zehr is a seasoned compliance professional with over 20 years of experience in the financial services industry. As the Chief Compliance Officer at AlphaCore Capital LLC, she is responsible for overseeing the firm's adherence to regulatory requirements, developing and implementing robust compliance policies and procedures, and ensuring the integrity of the company's operations.
Experience Summary
Current Role
As the Chief Compliance Officer at AlphaCore Capital LLC since 2017, Tricia is responsible for managing the firm's compliance program, identifying and mitigating regulatory risks, and fostering a culture of compliance throughout the organization. She works closely with the executive team to develop and execute strategic initiatives that enhance the company's compliance posture and protect client interests.
Career Progression
Prior to her current role, Tricia served as the Director of Advisory Compliance at Altegris, where she played a pivotal role in strengthening the firm's compliance framework and ensuring adherence to applicable regulations. She began her career as a Financial Consultant at Merrill Lynch, where she gained valuable experience in investment advisory and client service.
Academic Background
Tricia holds a Bachelor of Science degree in Finance from the University of California, San Diego, where she graduated with distinction.
Areas of Expertise
Tricia's areas of expertise include:
- Regulatory compliance and risk management
- Policy development and implementation
- Advisory compliance and client relationship management
- Financial analysis and investment advisory services
- Leadership and team management
Professional Impact
Throughout her career, Tricia has demonstrated a strong commitment to professional development and industry contributions. She has been actively involved in industry associations and has presented at various compliance-focused events, sharing her insights and best practices with her peers. Tricia's leadership and strategic vision have been instrumental in enhancing the compliance posture of the organizations she has served, ultimately protecting the interests of clients and stakeholders.
Conclusion
Tricia Zehr is a highly respected compliance professional with a proven track record of success in the financial services industry. Her deep understanding of regulatory requirements, coupled with her strategic leadership and collaborative approach, make her a valuable asset to AlphaCore Capital LLC and its clients. Tricia's dedication to compliance excellence and her passion for driving positive change in the industry position her for continued success in her current and future roles.
