Kaylee Engel serves as Compliance Consultant for RIA Compliance Consultants, Inc. She is responsible for new investment advisor registrations, preparing and amending compliance manuals, email review, annual compliance reviews and any additional items necessary to help develop and assist investment advisor firms and representatives in maintaining a robust compliance program. Kaylee also researches best practices and translates the latest investment adviser compliance trends into educational newsletter articles, sample disclosure language and forms, checklists and audit questions. She began working at RIA Compliance Consultants, Inc. as an intern and is excited to continue with the company in a new role.
Kaylee graduated with distinction from the University of Nebraska College of Law in May 2017. She holds a Bachelor of Social Work from Spring Arbor University. Prior to graduating from law school, Kaylee worked in several fields including banking, criminal defense, and refugee resettlement. She brings a strong work ethic, attention to detail, and excellent writing skills.
As explained in greater detail below, RIA Compliance Consultants is not a law firm, and Kaylee does not provide legal services through RIA Compliance Consultants.