Nicole Amari
Senior Compliance Associate
Nicole is a Senior Compliance Associate at 3iCO, specializing in managing SEC and regulatory filings for a diverse client base. Her responsibilities include critical filings such as 13F, 13H, 13D/G, Form PF, Form ADV, Form N-PX, and U4/U5. In addition, she works closely with the CEO and COO to develop and maintain 3iCO’s consulting services, enhancing internal processes related to regulatory filings and compliance reviews. Nicole serves as a compliance consultant for Registered Investment Advisors (RIAs), Private Funds, Broker-Dealers, and Registered Investment Companies, providing assistance with compliance testing, mock exams, and 206(4)-7 reviews. She also leads continuing education initiatives, ensuring compliance with FINRA, IAR CE, and other training requirements. Furthermore, she is part of the internal product development team, focusing on workflow enhancements and new systems implementation.