Anh joined West Financial Services as the chief compliance officer in August 2020. Anh’s responsibilities include overseeing WFS’ compliance program to ensure compliance with laws and regulatory requirements. She also guides and trains the staff in compliance-related matters.
Prior to joining WFS, Anh had the opportunity to learn the entire wealth management business — from the bottom up. She began in the industry as an intern but rose swiftly until she led a client services team and handled a boutique RIA's compliance program.
Anh's passion for compliance strangely began with her first SEC exam. She took the questions the examiners asked and established policies and procedures to simplify the retrieval of answers in case they ever returned. That experience showed her that compliance is more than checking boxes and following regulations. It is about proactively protecting the interests of the firm's clients.
Anh was born and raised in Ho Chi Minh City, Vietnam. She eventually persuaded her parents to send her to the U.S. to attend The American University, earning a BS in Business Administration with a specialization in Finance from the Kogod School of Business. Anh has since earned three designations: Certified Regulatory and Compliance Professional (CRCP®), Certified Security Compliance Professional (CSCP®), and Investment Adviser Certified Compliance Professional (IACCP®). Anh completed the FINRA Certified Regulatory and Compliance Professional (CRCP®) Program at Georgetown University McDonough School of Business.
Anh lives in McLean, Virginia, with her husband. In her free time, Anh enjoys outdoor activities such as golfing and scuba diving. Inside, she enjoys reading and tutors recent immigrants in English. Anh also visits her family in Vietnam at least once a year to report and provide evidence that their sacrifice and investment was worthwhile.
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