Donna Noble
Director Of Compliance at GTCR (Private Equity)- Claim this Profile
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Bio
Credentials
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Certified Public Accountant
Illinois -
Series 7, 9, 10, 24, 27, 63, 65 (licenses currently dormant)
FINRA
Experience
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GTCR LLC
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United States
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Financial Services
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100 - 200 Employee
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Director Of Compliance
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Mar 2013 - Present
Compliance officer for a private equity firm with responsibility for administration of the investment adviser compliance program. Compliance officer for a private equity firm with responsibility for administration of the investment adviser compliance program.
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Senior Compliance Officer
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Jun 2012 - Mar 2013
Support of Scout Investments’ compliance objectives, including investment adviser and investment company policies and procedures, and implementation, audit, and testing of the full range of components necessary to run an effective compliance program. Support of Scout Investments’ compliance objectives, including investment adviser and investment company policies and procedures, and implementation, audit, and testing of the full range of components necessary to run an effective compliance program.
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Nuveen, a TIAA company
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United States
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Financial Services
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700 & Above Employee
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Vice President, Compliance Officer
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Oct 2009 - Jun 2012
Responsible for a variety of compliance areas and programs for the enterprise, which is made up of 1,300+ employees in six affiliated entities at various locations across the country. Responsible for a variety of compliance areas and programs for the enterprise, which is made up of 1,300+ employees in six affiliated entities at various locations across the country.
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Chief Compliance Officer
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Sep 2004 - Oct 2007
Responsible for the design, implementation and ongoing management of a comprehensive compliance program for the registered investment adviser and the complex of registered investment companies. Responsible for the design, implementation and ongoing management of a comprehensive compliance program for the registered investment adviser and the complex of registered investment companies.
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Goldman Sachs
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United States
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Financial Services
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700 & Above Employee
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Vice President, Compliance Manager
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Apr 2001 - Sep 2004
Performed all compliance functions and provided oversight for the Goldman Sachs Asset Management Chicago facility, including operations, the retail and institutional service centers, internal wholesalers, and the mutual fund transfer agent. Performed all compliance functions and provided oversight for the Goldman Sachs Asset Management Chicago facility, including operations, the retail and institutional service centers, internal wholesalers, and the mutual fund transfer agent.
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Education
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Northwestern University
B.S., English -
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Illinois Institute of Technology, Center for Law and Financial Markets
M.S., Financial Markets
Community
