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Ruth A. Sweeney-Ricica is an Associate General Counsel, Compliance Officer and largely works to ensure Boyd Watterson’s compliance with investment advisory regulation under federal and state securities laws. She focuses on the implementation and maintenance of Boyd’s compliance program, which includes training on firm policies and procedures, cybersecurity, and other industry and regulatory updates. Ruth is also responsible for the filing and maintenance of regulatory-required documents and disclosures, in addition to the preparation of applicable agreements and guidelines relating to Boyd Watterson’s investment advisory relationships and services.
Since joining the firm in January of 2017, Ruth has sought to increase the efficiency and effectiveness of company compliance policies and procedures pursuant to the applicable SEC rules and regulations, while staying current with industry and regulatory standards.
