Alyssa Heim
AT A GLANCE
Prior to joining Kroll, Alyssa was a compliance consultant with RIA in a Box, a New York compliance consulting firm, specializing in SEC and state registrations. In this role, Alyssa managed the registration team, and corresponded with state securities divisions and the SEC throughout the registration process. She also assisted with registering hundreds of clients impacted by Dodd-Frank.
Alyssa has supported numerous clients to register with the SEC and NFA, establish customized compliance infrastructures, implement compliance programs including periodic forensic testing programs as well as conduct mock examinations. Alyssa also has significant experience assisting clients through regulatory examinations including SEC and NFA examinations.
Alyssa specializes in conducting regulatory and operational due diligence predominantly with financial institutions, being involved with pre and post-deal M&A activity diligence. Additionally, Alyssa has assisted alternative data providers to develop sound compliance infrastructure to prevent the misuse and transmission of material non-public information, adhere to industry best practices, as well as conducting due diligence on such vendors.
Alyssa received her B.A. in economics from New York University.
Stay Ahead with Kroll
Financial Services Compliance and Regulation
In the ever-evolving financial services landscape, Kroll's award-winning team offers comprehensive regulatory and compliance services, guiding clients through registration, licensing, and compliance support to minimize risks and enhance efficiency globally.
Regulatory Advisory and Assurance Services
In an era of increasing regulatory scrutiny, Kroll stands as a premier provider of Regulatory Advisory and Assurance Services to the financial services industry. Our award-winning team helps clients navigate complex regulatory landscapes, offering tailored solutions from governance and risk management to financial crime prevention and investment compliance.
Global Regulatory Licensing Services
Kroll's expert team provides regulatory registration and licensing services taking the burden of regulatory requirements off business operators. We partner with you to answer regulator queries and assist you in developing a tailored operational framework that meets regulator and investor expectations.
U.S. Financial Services Compliance and Regulation
Navigate the ever-changing U.S. financial regulatory environment with confidence. Kroll provides unparalleled expertise in SEC, FINRA, NFA and CFTC regulations, helping clients mitigate risks, maintain current compliance programs and confidently overcome regulatory challenges.
