Beth is a graduate of Roney’s Business School. She began her career with Arbor Capital 14 years ago as an administrative assistant. She worked her way into operations and gradually was given compliance responsibilities. In 2006, she was appointed as the Chief Compliance Officer. Beth is continually learning in maintaining compliance with ever-changing regulations of the S.E.C.
“It’s imperative to stay current with S.E.C. regulations as additions and changes are always occurring. I work closely with National Regulatory Services, a leader in compliance and registration products and services, regarding industry changes.”
Beth is committed to educating and disciplining herself to constant changes and how to demonstrate compliance with all aspects in how they may affect Arbor Capital clients. S.E.C. regulations do not come with “How-To Guides.” Beth works diligently and patiently in determining the most effective way for Arbor Capital to achieve compliance with every regulation placed before her.
Beth created a system of monthly and quarterly checklists in order for Arbor Capital to always be compliant with S.E.C regulations. She always ensures that tasks are not left unfinished and are completed as per S.E.C. regulations.
“One of the most important parts of my job is every morning I download all the client transactions from all the custodians and make sure all the accounts balance. I must also remain on top of any splits or reorganizations that happen so I can get the correct information into our system. This enables others to do required reports, such as appraisals, performance, etc”. ~Beth Eustace