Professional Information
Revati
Roberts
Chief Compliance Officer
CV Advisors LLC
Financial Services
Education, Honors & Awards
University of Florida
Bachelor of Science Degree in Finance with a minor in Economics and Mass Communications, University of Florida (2001)
Economics/Mass Communications
2001
Personal Information
United States
Florida
Aventura
The National Society of Compliance Professionals, Inc. Daughters of the American Revolution.
Tennis; boating; biking; enjoying Miami weather
11-15 Years
Revati Roberts is a dynamic, accomplished compliance specialist who recently began working in her current role as Chief Compliance Officer at CV Advisors LLC. She is responsible for managing the firm's compliance program, and overseeing all aspects of regulatory investment advisement, testing risk assessments policies; addressing personal security. Prior to this position, Revati served as Compliance Manager at GenSpring Family Offices for about 5 years. Some of her key responsibilities included reviewing, monitoring, and revising the firm’s policies and procedures to ensure continuing compliance with the evolving regulatory environment, and maintaining the firm’s compliance policy manual and code of ethics, as well as updates and filings including the Form ADV. Revati is Certified Lean Six Sigma Yellow Belt, and has been both a Certified Securities Compliance Professional through The National Society of Compliance Professionals, Inc. and a Certified Anti-Money Laundering Specialist through The Association of Certified Anti-Money Laundering Specialists since June 2010. In addition, she has passed the General Securities Principal Examination (Series 24), the Uniform Combined State Law Examination (Series 66), the Uniform Securities Agent State Law Examination (Series 63), and the General Securities Representative Examination (Series 7). Revati is a member of The National Society of Compliance Professionals, Inc. and Daughters of the American Revolution. She is bilingual in English and Portuguese, and speaks remedial Spanish. She is keen to connect with other compliance officers to exchange ideas with others in her same role. The firm deals with over 70% of international clients while her role is nationally based. Revati loves what she does and feels that this role comes very naturally to her. In fact, she dreamed of this role ever since she knew it existed, and she feels very fortunate to be able to protect the company, as well as their employees and clients.
Regulatory compliance for registered investment advisers Compliance Managment; Certified Securities Compliance Professional; Certified Anti-Money Laundering Specialist
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