Karolina Pajdak

Chief Compliance Officer

Ms. Pajdak serves as the Chief Compliance Officer of the firm. She has been a key player on the R. Seelaus team for nearly 20 years, with experience across all aspects of the firm. Prior to her appointment as CCO in 2020, she had served as Chief Financial Officer of the firm since 2011. As CFO and Finance and Operations Principal for the firm and its subsidiaries, Ms. Pajdak helped manage the compliance, finance, marketing, operations, and technology departments. Her critical responsibilities included risk management, supervision, and interpretation of various rules and regulations, including SEC’s Net Capital requirements, Customer Protection Rules, Books and Records Management, and all regulatory filings across the firm’s entities.

When R. Seelaus branched out from its roots as a brokerage firm and entered the Insurance Agency and RIA businesses in 2005 and 2006, respectively, Ms. Pajdak was heavily involved in structuring the compliance program and written supervisory systems and procedures for those businesses. Her day to day activities besides running all finance operations of the firm have included the analysis and interpretation of regulatory rules, designing and implementing new compliance systems, testing existing compliance systems, assessing compliance risks, annual AML audits, Investment Advisory Reviews, implementing compliant client communication processes and responding to branch and home office regulatory inquiries.

She earned a Bachelor’s in Economics in 2001 and a Master’s in Business Administration in 2009 from Rutgers University and holds Series 7, 24, 27, 52, 53, 99 & 66 Licenses as well as a Life, Health and Variable Annuity Insurance License from the State of New Jersey.