Rebecca Havens joined ChangePath in January 2019 as a compliance specialist. She works closely with the Chief Compliance Officer to ensure the firm remains compliant with federal securities laws and regulations, and assists with the implementation and coordination of compliance functions throughout the firm.

Rebecca has worked in various roles since joining the financial industry. After a brief time as a Financial Advisor with Ameriprise, she moved on to become a Compliance Officer with an Overland Park, Kan.–based Broker-Dealer and Registered Investment Adviser. During her time there, she was responsible for overseeing both the corporate and individual securities and insurance licensing as well as administering the continuing education program. In addition to her licensing roles and her supervisory duties, she worked closely with the Chief Compliance Officer and legal department in responding to regulatory inquiries and customer complaints.

After eight years as a Compliance Officer, she spent several years, working in a financial adviser’s office as a customer relationship manager, where she was responsible for overseeing the office staff, assisting customers with service needs and investment questions, as well as helping to grow the practice.

Over the years, Rebecca has had experience in everything from operations, sales, compliance, and supervision as well as assisting with adviser onboarding and transitions. All have provided valuable knowledge and experience which she uses daily at ChangePath. Rebecca has a bachelor’s degree from Kansas State University and, when she’s not working, spends her time with her husband and two children (or riding her bike).