Kate joined RSM in 2003 and has more than 20 years of experience in the public accounting industry, primarily serving financial services clients with a focus on capital markets and asset management. She works with a variety of industry participants, including business development companies, private equity funds, broker-dealers, futures commission merchants, hedge funds and commodity pools. Kate provides consultations and quality reviews for clients and engagement teams.
As the national assurance leader of regulated capability, Kate is responsible for the operational matters of her team. And as the national director of capital markets, she was responsible for firmwide, industry-related assurance matters, including accounting, independence and risk management.
In addition to her roles at RSM, Kate was a former member of the American Institute of Certified Public Accountants (AICPA) Stockbrokerage and Investment Banking Expert Panel, where she helped determine and publish updated guidance.
Kate was an inspections specialist in the broker-dealer program of the Public Company Accounting Oversight Board (PCAOB). During her tenure there, Kate led the implementation of the AICPA clarity standards, oversaw the annual updates to the inspection methodology guidance, contributed to the issuance of PCAOB’s broker-dealer assurance standards (AS 17 and attestation standards) and inspected audit firms for compliance with accounting and auditing standards. She is also a member of the Center for Audit Quality’s broker-dealer task force.
Kate’s experience with these professional organizations brings tremendous value to clients, as she has been a primary source of change in the industry.
Kate appreciates the opportunity to do something different every day in her work at RSM. She loves celebrating successful engagements with her team and clients over a delicious meal. A self-professed foodie, Kate always has a great restaurant recommendation at the ready.
