Kelly Dehler

Galvanizer
DISC Type : Id

Chief Compliance Officer at First Trust Advisors L.P.

La Grange, Illinois, United States

Overview

Kelly Dehler is the Chief Compliance Officer at First Trust Advisors L. P. , with extensive expertise in legal and regulatory issues for investment advisers and funds. Her experience covers compliance programs, SEC filings, and corporate governance. She holds a JD from the University of Illinois Chicago School of Law.


She has specialized expertise in European fund regulations, including AIFMD, UCITS, and MiFID compliance.

Personality Overview

Trusting

Pragmatic

Persuader

They are more likely to accept new and exciting technologies.  A combination of speed and relationship gets the best response from them. They are not against taking risks and can make tough decisions when required.


Topics They Care About

Investment Compliance
Her career is focused on creating, implementing, and overseeing compliance programs for various investment advisers, broker-dealers, and funds.
Regulatory Affairs
Manages a wide range of regulatory responsibilities, including SEC filings such as Form ADV, Form 13F, and Schedule 13G.
European Fund Regulation
Possesses specialized knowledge in compliance for European frameworks like AIFMD, UCITS, and MiFID, including fund creation.

Media Appearances

Kelly has no verified media appearances

Work History

6-2021
Chief Compliance Officer at First Trust Advisors L.P.
4-2013
Assistant General Counsel at First Trust Portfolios L.P.
1-2011 - 4-2013
Corporate Attorney - Regulatory Administration at The Northern Trust Company
1-2009 - 11-2009
Director of Compliance (Designated Chief Compliance Officer) at Alaric Compliance Services, LLC
4-2000 - 10-2008
Senior Attorney at Driehaus Capital Management, LLC

Education

1998 - 2002
JD from University of Illinois Chicago School of Law
Bachelor of Business Administration from Western Illinois University

More Information

Social Presence :

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Exp : 24 Location : La Grange, Illinois, United States Job Level : Leadership Designation : Chief Compliance Officer at First Trust Advisors L.P.
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Insights For Selling To Kelly

During A Call Or A Meeting

DO's

  • Present testimonials from existing customers about their experience with your product
  • Appeal to their sense of self-worth and how they will impact their organization
  • Help them weigh the risks by sharing how others made similar decisions

DONT's

  • Don’t hesitate from asking questions, but take a friendly and warm approach
  • Don’t make promises that are hard to keep
  • Don’t be excessively objective, focus on building a story first

When Cold Calling

When Writing An Email

While Negotiating & Closing

    The secret to closing fast with Kelly is

  • Relationship and product conviction matter equally, followed by a sense of achievement.
  • Will you ever get a clear answer from Kelly

  • If they are not convinced, they will say no though in a friendly way.

Insights For Deal Planning

    How fast (or slow) will Kelly move?

  • If you earn their trust and they develop faith in the product, they can make decisions quickly.
  • Can Kelly take some risk or not?

  • If necessary, they will be ready to take risks.

You And Kelly

Personality Compatibility


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