Mary is in charge of overseeing all aspects of compliance for the firm. Mary works closely with the Chief Compliance Officer to maintain a comprehensive Compliance Program as required by the many rules and regulations related to an SEC (U.S. Securities and Exchange Commission) Registered Investment Advisor (RIA). The Compliance Program is built around a compliance calendar that outlines all regulatory requirements, training and testing being conducted at the firm level, the results of which are outlined in the firm’s Annual Report of Compliance.
Mary has worked in compliance for over twenty years with her focus during the past 10 years being on compliance for registered investment advisers. Mary began her compliance career with Federated Investors and later PNC Investments. More recently, Mary worked for a local compliance consulting firm and gained valuable experience in finding practical solutions to enable registered investment advisers, like Fort Pitt, to remain fully compliant in this constantly changing regulatory environment.
B.S., Westminster College
In her life outside of work, Mary enjoys camping with her family and finding restaurants in all areas of the city with great food, whether its pizza and beer or something fancier. Mary is a lifelong Steelers fan likes to garden, read and watch classic movies in her spare time.