KATHLEEN B.

ROMAN
327 Abbey Road
Berwyn, PA 19312
krc3da4a@westpost.net 610-547-0018
CHIEF COMPLIANCE OFFICER / RISK MANAGER
Highly experienced Financial Services Professional with a record of achievement
assuring regulatory compliance and mitigating risk for financial services leader
Valley Forge Capital Advisors. Early career success as a top producer and finan
cial advisor for Merrill Lynch.
An Investment Advisor Certified Compliance Specialist (IACCP) and member of the
National Society of Compliance Professionals as well as the Philadelphia Complia
nce Round Table. A featured presenter at compliance seminars and webinars for Na
tional Regulatory Services and Investment Adviser Watch.
Well versed and up to date on all SEC regulatory changes and knowledgeable on th
eir impact upon the organization and its employees.
CORE COMPETENCIES
Regulatory Compliance * Risk Management * Internal Controls * Expense Control *
Project Management
Team Leadership & Motivation * Training & Development * Product Marketing * Need
s Assessment Presentations * Customer Service * Client Relations * Workflow Str
eamlining

PROFESSIONAL EXPERIENCE
Valley Forge Capital Advisors, Inc., Malvern, PA 2004 - Present
An SEC registered investment adviser providing discretionary asset management se
rvices to clients, pension and profit sharing plans and state or municipal gover
nment entities. VFCA provides separate account management through the use of a
proprietary quantitative model.
Chief Compliance Officer, VP
Orchestrate development, administration and testing of the firm's compliance pol
icies and procedures in accordance with the Investment Advisers Act of 1940. En
sure firm-wide compliance with its Code of Ethics, including policies regarding
personal trading, gifts and entertainment, political contributions, and outside
business activities. Direct and closely monitor compliance testing focused on i
mproving firm policies regarding brokerage, soft dollars, best execution, alloca
tion, insider trading, and all brokerage compliance matters.
Serve as the voice and the face of the organization in SEC required annual compl
iance reviews as well as in all associated regulatory compliance matters while c
losely liaising with regulators, auditors, clients and third party service provi
ders.
Personally vet all marketing and advertising to ensure its accuracy and complian
ce with all applicable regulatory requirements. Spearhead the execution of GIPS
and all performance reporting including disparity testing. Direct the efforts of
4 operations employees tasked with providing trade entry, portfolio reconciliat
ion, client and custodian reporting, data base maintenance, contract review, pro
xy voting and corporation actions, 13f and all regulatory filings, as well as bo
okkeeping functions.
* Set the foundation for continued improvement in compliance and risk management
.
o Developed a strong compliance program, brokerage and operations system as well
as H/R policies and guidelines.
KATHLEEN B. ROMAN PAGE TWO
Valley Forge Capital Advisors, Inc (continued)
* Set new benchmarks for superior team performance.
o Personally led the firm through 2 successful SEC exams.
o Guided the firm through a fund adoption by a large nationally recognized mutua
l fund organization.

CAREER NOTES
Early career success in the Financial Services industry as a Financial Advisor w
ith Merrill Lynch, one of the world's leading financial management and advisory
companies. Developed and managed a large book of individual and corporate clien
ts. Promoted strategic investments in stocks, bonds, mutual funds, options, annu
ities, and limited partnerships aligned with the investment objectives of the cl
ient.
* Set new records for personal best in sales production while achieving notoriet
y as a top cold caller and sales closer.
* Achieved recognition as the firm's subject matter expert on annuities. Served
as the office insurance and annuity coordinator. Led the office in annuity sales
production for 3 years running.

EDUCATION
Studies in Business Administration at Union County College, Cranford, NJ
Continuing studies in Financial Management at Immaculata University, Malvern, PA

AFFILIATIONS
NAFE (National Association of Female Executives)
League of Women Voters.