ComplianceOnline

Expert Profile


Kimberly McManus
President, Alternative Regulatory Solutions LLC

Kimberly McManus is currently President of Alternative Regulatory Solutions, LLC (ARS), a compliance consulting firm she founded in July 2009 that has created unique training modules for specific MSRB Rules. Ms. McManus has extensive experience in fixed income compliance, with expertise in the municipal market. In her latest role as Managing Director of Municipal Compliance with Wachovia Corporation, she was responsible for assessing and managing regulatory risk for public finance/government banking, bond trading and syndicate, sales (both institutional and retail), operations, and derivative/structured products within the Municipal Products Group. Ms. McManus was extremely instrumental in regulatory exams, inquires and investigations with the IRS, SEC, OCC, DOJ, FINRA and States Attorney General Offices.

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