Chief Compliance Officer

Anh was born and raised in Ho Chi Minh City, Vietnam. She eventually persuaded her parents to send her to the U.S. to attend The American University. There, she earned a B.S. in Business Administration with a specialization in Finance from the Kogod School of Business.

Anh had the opportunity to learn the entire business of wealth management — from the bottom up. She began in the industry as an intern but rose swiftly until she was leading a client services team and handling the compliance program for a boutique RIA. This path provided her a holistic view of the business of wealth management and equipped her with valuable knowledge about how robust compliance, IT, and operations programs can be to value propositions not just cost centers. Anh joined the firm as Chief Compliance Officer in 2020. Anh’s responsibilities include overseeing the compliance program of RPJ to ensure compliance with laws and regulatory requirements, and also providing guidance and training to the staff of RPJ on compliance-related matters.

Anh's unusual passion for compliance began with the SEC exam at a previous employer. She took the questions that the examiners asked and established policies and procedures to simplify the retrieval of answers in case they ever returned. That experience showed her that compliance is about more than checking boxes and following regulations, it is about proactively protecting the interests of the firm’s clients. Thereafter, she earned designations as a Certified Security Compliance Professional (CSCP®) and an Investment Adviser Certified Compliance Professional (IACCP®). She has worked in the field ever since. Anh is an active member of the National Society of Compliance Professionals.

In her free time, Anh enjoys outdoor activities such as golfing, camping, scuba diving, and biking. Inside, she enjoys reading and trying new recipes from different cuisines. Anh also visits her family in Vietnam at least once a year to report and provide evidence that their sacrifice and investment was worthwhile.