Kathy Root is a director in Mercadien’s Financial Institutions Services Group. With extensive industry experience and knowledge of banking regulations, she specializes in trust, risk management and compliance services that focus on fiduciary and investment management, registered investment advisory, securities operations and brokerage activities. Kathy manages engagements, overseeing all aspects of internal audits, including those for deposit, lending, accounting/finance, branch and IT operations; consults on compliance matters; and oversees the implementation of remediation activities for bank clients.
Kathy is no stranger to the world of banking and its regulations. Her vast knowledge of risk management, internal audit and regulatory compliance stems from 30 years of professional experience in these areas. She developed policies and procedures for, as well as performed, risk assessments and internal audits, and has developed comprehensive audit programs for fiduciary and investment managers and registered investment advisors. Kathy has served as a senior vice president, fiduciary risk manager, chief control officer and, most recently, audit director, for various financial institutions.
Personal Fact: Kathy is known for her critically-acclaimed (by friends and family) Guinness Stout Corned Beef and New Jersey Clam Chowder. She loves to travel and play golf.