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Aileen Kay Braga, IACCP®

Chief Compliance Officer

Aileen Braga joined SaratogaRIM in 2010. Since then, Aileen has held the CCO position on a full-time basis, administering the firm’s compliance program and reviewing, assessing and enforcing all policies and procedures.


Professional Experience & Designations

  • Investment Adviser Certified Compliance Professional (IACCP®)

  • Control Administrator & Operations Manager at Shearson Lehman for over a decade (through its various iterations)

    • Routinely called upon to oversee focus groups as they tested compliance systems created to adhere to new FINRA and SEC regulations

    • Reviewed policies for clarity and created monitoring protocols as they were implemented across the firm’s national offices

Education

  • University of California, Santa Barbara

    • B.A. Political Science - International Relations emphasis

Fun Facts

  • Enjoys traveling to new places with her family

  • Aileen and her family have explored 11 National Parks (so far)

  • Grew up in Los Gatos, CA