Denise is the senior director of compliance and works out of the Raleigh, North Carolina, office.
Denise supervises the firm’s efforts to comply with federal, state, and SRO regulation of its investment advisory and broker/dealer business. Denise is involved with several ongoing initiatives, focus groups, and committees concentrating on business continuity/disaster recovery planning; Department of Labor Fiduciary Rule (ERISA); compliance; and cybersecurity.
Denise joined CAPTRUST in 2003 to lead the compliance team and served as the chief compliance officer until September 2023. Denise works directly with CAPTRUST’s current chief compliance officer to oversee the firm’s compliance program and ensure that its functional authority is exercised with complete independence and objectivity. She also monitors all activities across the firm in accordance with the rules of regulatory agencies and firm policies. Prior to joining the firm, Denise served as a chief compliance officer at Atlantic Capital Management, and she has worked in the industry since 1984. Denise holds a Bachelor of Arts degree in sociology from the University of California, Los Angeles.
- Bachelor of Arts degree in sociology from the University of California, Los Angeles