Carol Kim Supancheck Weiss

Chief Compliance Officer at KWK Management LLC

Carol Kim Supancheck Weiss

Carol Kim Supancheck Weiss

Chief Compliance Officer at KWK Management LLC

Biography

Ms. Carol Weiss is Chief Compliance Officer at KWK Management LLC. Prior to joining KWK Management, Ms. Weiss was a Senior Compliance Examiner with FINRA (previously NASD) for six years, where she led routine and special examinations of member firms' financial, sales, trading, underwriting and supervisory practices. Prior to joining FINRA, Ms. Weiss held various operational management roles for companies in the mortgage industry.Ms. Weiss received a BS in Business Administration from California State University, Fullerton.

Overview
RelSci Relationships

23

Relationships
RelSci Relationships are individuals Carol Kim Supancheck Weiss likely has professional access to. A relationship does not necessarily indicate a personal connection.

Advisory Director at KWK Management LLC

Relationship likelihood: Strong

Co-Founder at KWK Management LLC

Relationship likelihood: Strong

Founder at KWK Management LLC

Relationship likelihood: Strong

President, Djb Management Inc at KWK Management LLC

Relationship likelihood: Strong

Advisory Director at KWK Management LLC

Relationship likelihood: Strong

Portfolio Manager at KWK Management LLC

Relationship likelihood: Average

Former Hearing Officer at Chicago Commission on Human Relations

Relationship likelihood: Weak

Founder at Security Network

Relationship likelihood: Weak

Former Senior Vice President at Morgan Keegan & Co., Inc. (Old)

Relationship likelihood: Weak

Secretary Treasurer at Predictive Technologies Corp.

Relationship likelihood: Weak

Paths to Carol Kim Supancheck Weiss
Potential Connections via
Relationship Science
You
Carol Kim Supancheck Weiss
Chief Compliance Officer at KWK Management LLC
Education

California State University, Fullerton (known as CSUF, Fullerton, or Cal State Fullerton) is a public comprehensive university located in Fullerton, CA. With a total enrollment of 38,325, it has the largest student body out of the 23 campus California State University system, is the largest comprehensive university in the State of California, and is the second largest university overall (just behind UCLA), in terms of enrollment. CSUF is designated both as a Hispanic-serving institution and an Asian American Native American Pacific Islander Serving Institution (AANAPISIs). The university is nationally accredited in art, athletic training, business, chemistry, communications, communicative disorders, computer science, dance, engineering, music, nursing, public administration, public health, social work, teacher education and theater. Spending related to CSUF generates an impact of around $1 billion to the California and local economy, and sustains nearly 9,000 jobs statewide.

Career History
Chief Compliance Officer
2005 - Current

KWK Management does not focus on or specialize in and specific investment strategy, approach or philosophy. Each of their fund's investment strategy is outlined in that fund's memorandum. KWK Partners LP/KWK Partners Offshore Fund Ltd. seeks a high level of total return, consistent with preservation of capital and prudent investment management across a wide range of interest rate environments. The fund invests primarily in short-to-intermediate duration MBS issued by government sponsored enterprises, including mortgage pass-through certificates and collateralized mortgage obligations.KWK Opportunity Fund LP seeks a high level of absolute return consistent with preservation of capital. The fund directly invests a portion of its assets and implements additional non-correlated financial strategies through investment in affiliated funds, as well as, other privately offered investment funds. The firm may also engage other investment managers to directly invest portions of the fund’s assets.KWK Merger Arbitrage Fund LP/Coastview Equity Partners LP seeks appreciation through an event-driven, relative-value investment approach that KWK Management believes is less correlated to the movements of equity markets and less volatile than traditional long-equity or long-short equity investment approaches. The fund may utilize arbitrage/hedging techniques designed to reduce certain risks associated with the fund’s portfolio.In addition to the strategies utilized in these funds, KWK Management may also employ the following strategies: long-term purchases; short-term purchases; trading; short sales; margin transactions; option writing, including covered options, uncovered options or spreading strategies; futures and options on futures transactions, derivative instruments, swap agreements, foreign securities, foreign currency transactions; and hedging techniques designed to reduce certain risks.

Senior Compliance Officer
1999 - 2004

The Financial Industry Regulatory Authority, Inc. (FINRA) is the largest independent regulator of securities firms doing business with the public in the United States. Our core mission is to pursue investor protection and market integrity, and we carry it out by overseeing virtually every aspect of the brokerage industry. All told, FINRA oversees about 4,245 brokerage firms, about 162,230 branch offices and approximately 630,150 brokers. With approximately 3,400 employees, we are the first line of defense for investors—working in communities all across the nation.

Other Affiliations

Carol Kim Supancheck Weiss is affiliated with KWK Management LLC, Financial Industry Regulatory Authority, Inc.

This web site is not endorsed by, directly affiliated with, maintained, authorized, or sponsored by Carol Kim Supancheck Weiss. The use of any trade name or trademark is for identification and reference purposes only and does not imply any association with the trademark holder. The Presence of Carol Kim Supancheck Weiss's profile does not indicate a business or promotional relationship of any kind between RelSci and Carol Kim Supancheck Weiss.
  • be_ixf; php_sdk; php_sdk_1.4.15
  • https://relationshipscience.com/person/carol-kim-supancheck-weiss-4312228
  • https://relationshipscience.com/person/carol-kim-supancheck-weiss-4312228