Caren Rosch

Director of Regulatory Compliance

Areas of Expertise

  • ’40 Act Compliance
  • U.S. and global regulatory reporting
  • Fund Compliance

Caren Rosch is the Director of Regulatory Compliance for our Investment Manager Services division. Caren is responsible for managing the regulatory compliance services offered to our investment manager and banking clients, for both traditional and alternative products. She oversees the responsibilities of our Global Risk and Regulatory Compliance offering, which includes the administration and support of Form PF, Form CPO-PQR, and AIFMD and other U.S. and global regulatory requirements.

Caren has been responsible for the Regulatory Compliance Team since 2001. Prior to that, she worked as a senior manager on SEI’s Fund Accounting team.

Caren received her Bachelor of Science in finance from DeSales University and a Juris Doctor degree from Widener University.

Our Regulatory Services

Minimize the strain of regulations on your firm

Our services help you meet reporting and compliance requirements without having to add infrastructure and expertise to your business

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