The IACCP designation for investment advisory compliance professionals certifies that they have a broad knowledge of investment advisor regulation and compliance best practices, as well as a commitment to professional standards and ethical leadership.
Brown received the designation after completing coursework consisting of 15 required compliance courses, five electives, two years of work experience, submission of an ethics commitment and assessment, and a certifying examination. She finished the coursework in nine months.
“We’re very proud of Carrie for obtaining this certification, which demonstrates hers and Argent’s deep commitment to maintaining an ethical compliance culture throughout our company,” said Mike Jones, managing director of Argent Advisors’ Investment Group. “Our primary obligation is to our clients’ financial security, and by going the extra mile, we hope to continue earning their trust.”
Brown joined Argent in 2004 as a part-time college student and became a full-time employee in 2006. Before her current role, she worked as a reporting analyst and investment administrator with Argent Trust, as compliance administrator with Argent Fiduciary Consulting Services and as administrator and new business coordinator/compliance assistant with Argent Advisors. Brown earned her bachelor’s in finance from Louisiana Tech University.
“By giving me a deeper understanding of the laws and requirements of my field, this program will help me be a better compliance officer,” Brown says. “I look forward to applying my new knowledge here at Argent in a way that benefits the company and our clients.”