Meet Roseann
Roseann Higgins
Chief Compliance Officer
805.809.0400
Roseann serves as Chief Compliance Officer at Alteri Wealth and has spent over 25 years in the financial services industry. Over the course of her career, she has served in roles relating to FINRA/broker dealer compliance, corporate compliance, and compliance for Registered Investment Advisers, as well as working in Human Resources. Roseann works to ensure the effective administration and oversight of client compliance programs and to build strong, personal relationships with the firm’s clients.
Roseann’s experience extends beyond investment compliance. Prior roles include Director of Compliance and Human Resources at NCP Finance in Dayton, Ohio, a boutique lending firm. There she focused on all aspects of banking and lending compliance, as well as Human Resources. Roseann holds the IACCP certification and has held the Series 6, 7, 8 and 63 licenses. She earned her bachelor’s degree from Xavier University and attended Xavier Center for Executive Leadership for her Project Management Certification
Roseann has two adult children and resides in Cincinnati, Ohio with her husband Michael and Norman the Rottweiler.