简介

Carrie Richards assists attorneys throughout corporate best practices guidance, compliance matters and transactions.

Carrie's responsibilities include:

  • Assisting clients with regulatory compliance projects or ongoing routine compliance work, particularly related to Registered Investment Advisors
  • Drafting documents to form, merge and liquidate entities
  • Assisting with mergers and acquisitions due diligence

Past Experience 

Prior to joining Faegre Baker Daniels, Carrie was a compliance officer and salesperson at Elinphant LLC, and she worked as a compliance officer at UBS O'Connor LLC for 10 years prior to that.

Personal Interests

In her spare time, Carrie enjoys ballet and live music, especially jazz and the blues. 

服务和行业

资质

语言

Dutch
German

教育

Roosevelt University
Paralegal Certificate

University of Wisconsin
B.A. with distinction

领导力和社区

职业协会

  • National Society of Compliance Professionals
  • ACAMS
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