Chief Compliance Officer and Managing Director
BA, Swarthmore College; JD, Fordham University
Ms. Chern’s responsibilities include all Broker-Dealer, distribution, AML and compliance risk management matters. Prior to joining Foreside, her experience included 3 years with the U.S. Securities and Exchange Commission regional office in New York and 7 years as assistant counsel at First Investors Corporation. She holds FINRA Series 7, 24 and 79 registrations as well as the Certified Securities Compliance Professional-BD® designation through the National Society of Compliance Professionals. She has more than 30 years of experience within securities-related law.