Kathleen Keating

Chief Compliance Officer

Kathleen Keating is the Chief Compliance Officer and General Counsel of Optima Asset Management, joining Optima upon the close of the transaction between Optima and FWM Holding LLC in 2019. Ms. Keating brings over 20 years of legal, audit and regulatory compliance experience to the firm. Previously, Ms. Keating was a Director of Compliance – Affiliate Legal and Compliance Support for AMG Wealth Partners.  Prior to AMG, she served in progressively senior compliance roles at firms including Franklin Resources, and Credit Suisse Group – Private Equity Division, culminating in serving as the Chief Compliance Officer for boutique registered investment advisers. Kathleen holds a B.A. in Business Administration from St. Joseph’s College, a J.D. summa cum laude from New York Law School and a LL.M. in Corporate Transactions and Finance cum laude from the University of Alabama School of Law.

 212-484-3080
 kathleen.keating@optima.com