Ms. Laurie Hadick is an Associate Director with SDDCO Regulatory Services LLC. In her role, Ms. Hadick acts as a consultant to investment adviser firms, where she prepares responses to regulatory inquiries, reviews electronic communications and employee trading for client firms, and in some cases acts as the named Chief Compliance Officer for our investment adviser clients.
Prior to joining SDDCO-RS, Ms. Hadick worked as a Compliance Officer in the legal and compliance department of a hedge fund, where she was responsible for marketing review, preparation and execution of regulatory filings, updating policies and procedures, personal trading review and training, amongst other responsibilities. Previously, Ms. Hadick performed similar functions as a Senior Associate in the legal and compliance department at a real estate investment advisor in Manhattan and as Vice President of Compliance at an investment adviser in Westchester, New York. Excepting her time in law school, Ms. Hadick has worked in the financial services industry since 2008 and in regulatory compliance since 2014.
Ms. Hadick earned her J.D. cum laude from the University of Connecticut School of Law and her B.A. from Trinity College. Additionally, Ms. Hadick holds the Series 7, 24 and 63 licenses.