Tracy Abbott

Tracy Abbott, who has previously held a CCO role at Rethink, has joined ACA and, through her position, continues to work with us to help facilitate the daily management of our compliance program. Her primary responsibilities involve developing, implementing and reviewing the compliance program, conducting on-going risk assessments, providing primary support to resolve compliance matters, and providing support to all divisions with respect to compliance issues.   Tracy’s career includes over 20 years working as a compliance professional, including as CCO for the New York State Common Retirement Fund, senior positions at prominent global investment management firms and a private wealth management firm. Ms. Abbott is a graduate of Utica College of Syracuse University with a Bachelor of Science degree in Criminal Justice/Economic Crime Investigation and an MBA in Economic Crime and Fraud Management. She has experience investigating identity theft, as well as other financial crimes and is a frequent speaker and trainer in the industry on compliance, risk management and forensic testing, including conducting fraud training for securities examiners from the SEC, FINRA, CBOE and NASAA at SEC headquarters in Washington, DC, and is a passionate leader on Diversity and Inclusion initiatives. Additionally, she serves on the Board of Advisors of the Economic Crime & Cybersecurity Institute at Utica College and is a former board member of the National Society of Compliance Professionals.