Denice Nard is a Managing Director and Supervisory Principal in Mesirow Wealth Management, an SEC-Registered Investment Advisor (RIA) firm. As Managing Director and Supervisory Principal, she implements and oversees the firm’s supervisory program and all supervision activities across the division. Working closely with the Wealth Management leadership team, legal and compliance, she works to ensure compliance with supervision regulations, firm policies, processes and  procedures. She provides guidance to wealth advisors and advisory team members. Denice is engaged in the management of supervision monitoring tools and platforms used for supervision and surveillance of all supervised persons of the RIA. She identifies gaps and employs remediation to comply with regulations and industry best practices. She plays a key role in the implementation of supervision processes for new or revised regulations. She ensures that client interactions are in accordance with applicable financial rules and regulations. Denice also works closely with middle office operations, providing regulatory guidance in the processing of client new accounts, account maintenance, and performance reporting; continually reviewing and developing policies and procedures as required to enhance operational efficiencies.

Prior to joining Mesirow in 2018, Denice held the role of Associate Chief Compliance Officer for Bankers Life Securities, Inc., where she focused on implementation and continued maintenance of the Compliance and AML programs including monitoring, testing and exam requirements. She previously held the role of Senior Compliance Officer at BMO Harris Financial Advisors, where she was also advertising principal for broker dealers and RIAs. Denice was responsible for the maintenance of compliance requirements and quarterly attestations, branch audits, annual compliance meetings, compliance vendor relationships, executive and board reporting.

Denice studied legal studies at Dominican University and accounting at Southern Illinois University. She holds the following securities registrations: Series 7, 63, 9, 10, 24.