Chief Compliance Officer


Connie Grosser, Chief Compliance Officer, is responsible for developing, maintaining, managing, and monitoring regulatory compliance programs for a State of Ohio Registered Investment Advisor, a SEC Registered Investment Advisor and a Registered Broker/Dealer. Connie's responsibilities include developing and maintaining policies and procedures and the overall design/maintenance of the investment services compliance programs. She is also responsible for ensuring that HORAN Wealth's investment regulated entities’ reporting complies with regulatory requirements as well as firm policies and supervisory procedures.

Areas of Expertise

illustration of a gear with rotating arrows
Process Improvement
Risk Management
Complex Problem Solving
Budget Management