Candice Cole

With over a decade of experience in marketing project management, event planning, and compliance oversight, I bring a detail-oriented and strategic approach to driving impactful marketing and compliance operations. My work sits at the intersection of creativity and execution, streamlining processes, managing timelines, and ensuring marketing initiatives are both efficient and effective.

Marketing Compliance and regulatory operations leader experienced in managing SEC and FINRA governance, advisor licensing, marketing material review, and audit preparation within investment advisory environments. Proven record of ensuring regulatory adherence while supporting business growth initiatives. Strategic partner to executive leadership on regulatory interpretation, compliance processes, and operational oversight.

Bachelor of Business Administration (BBA), Marketing | Minors: Communications & Philosophy 

Western Connecticut State University, Danbury, CT | 2004