Named Chief Compliance Officer as of
There's no doubt that
Previously acting as the Vice President of Operations & Compliance and Financial and Operations Principal for Sikich Investment Banking, Chapman originally planned to enforce policies at a much more literal level as a
In 2008, when Partner-in-Charge Chris Geier took charge of the investment bank, he reorganized the unit and launched a registered broker-dealer,
The newly formed broker-dealer created a vacuum that needed to be immediately filled: compliance. With Geier in the role of Chief Compliance Officer, he still needed to not only secure and run deals, but also manage the investment bank. Geier had Chapman sit for the requisite exams to take responsibility for the financial books and records and assist him with compliance. At that point, Chapman's position became VP of Operations & Compliance and Financial and Operations Principal, allowing her to assume responsibility for the broker-dealer's financials.
"Nickie was more talented than the role she had been hired for," said Geier, "so we kept challenging her, and she kept succeeding. We're looking forward to seeing her continue that pattern in her new role."
Over the course of her career at
"When I think of all that has happened since I joined
In her new role as Chief Compliance Officer, Chapman will also continue to oversee the investment bank's operations and financial books and records.
"In keeping with the
Chapman holds a bachelor's degree in organizational development from
Keywords for this news article include: Financial Services, Finance and Investment, Investment and Finance.
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