Carol Robertson
Chief Compliance Officer
Carol serves as the Chief Compliance Officer for Trivium Point Advisory, where she is responsible for maintaining the Firm’s compliance program which is designed to uphold regulatory, fiduciary, and client contractual obligations, while simultaneously implementing industry best practices and standards. She is also responsible for demonstrating assurance to Trivium’s clients, auditors, and regulators that Trivium’s compliance program meets or exceeds its responsibilities, and for regularly conducting compliance training with Trivium employees.
Carol began her career in the financial services industry shortly after earning her degree from the University of Delaware. She brings over 35 years of experience to the position of Chief Compliance Officer through various operational and client facing positions, having been previously associated with financial firms such as Merrill Lynch, Prudential Securities and UBS.
When not working at Trivium, Carol and her partner Ron split their time between Greenwich and Bethlehem, CT. She has a grown daughter and enjoys gardening, hiking with her dogs as well as spending quality time with family.
