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Leslie Yates joins the CXOWARE team

By: Steve Tabacek

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Leslie Yates has over 20 years of experience in the financial services industry, previously serving as President and Chief Compliance Officer for Ken Roberts Investment Management, Inc. (KRIM). Since joining KRIM in 2002 as Chief Operating Officer, Mrs. Yates was instrumental in developing KRIM’s strategic vision, management team initiatives and goals, internal procedures and controls, financial and accounting practices, and GIPS performance policies and procedures. She began her career at ICM Asset Management, Inc. in corporate finance, experienced significant career growth, and ultimately served as Senior Vice President, Finance and Corporate Secretary/Treasurer. Leslie also served as Vice President of Koyah Ventures LLC, a hedge fund, participating in the development and initial roll out of the fund, and also handled the partnership accounting. Leslie joined US Bancorp Piper Jaffray in 1999, achieved her Series 7 license, and worked with a team of advisors focused on developing their managed account business. She received her Investment Advisor Certified Compliance Professional (IACCP) designation in June, 2008. Risk and Compliance are a perfect fit and we are excited to the multi-faceted experience Leslie brings to CXOWARE.

About The Author

Steve Tabacek
Steve Tabacek is the cofounder and President of RiskLens.