Maria Lee is the Chief Compliance Officer & Vice President of Operations and has been a part of Quantum Portfolio Management since inception. Maria is primarily responsible for ensuring management and employees are in compliance with the rules and regulations of supervising agencies, in addition to the company’s policies and procedures. She has developed expertise crafting compliance and code of ethics policies, as well as specializing in navigating the increasing complex regulatory environment.
Prior to this role, she served as a Senior Registered Client Associate at J.P. Morgan Securities, then Alex Brown, where she was responsible for team operations, the compliance liaison, strategic planning and developing content for marketing and RFPs. Before she joined the team, Maria held positions at Morgan Stanley and RBC Capital Markets with over 16 years of industry experience.
Maria is a member of the National Society of Compliance Professionals, holds Series 7 and 66 licenses. Maria graduated from California State Long Beach University with dual majors in Business Management and Operations.
Contact Maria:
Direct Line: 212.466.6761
Main Phone: 212.466.6760
Email: [email protected]