Chief Compliance Officer
11376 N. Jog Rd., Suite 101
Palm Beach Gardens, FL 33418
Kayla Berg serves as Chief Compliance Officer for Dakota Wealth Management, overseeing regulatory compliance for the firm with a primary focus on reducing risk. Her responsibilities include adherence to general RIA compliance of all federal and state laws, rules and regulations, interpretation of the ever-evolving compliance landscape, and due diligence regarding acquisition targets. Kayla puts great emphasis on advancing best practices across all levels of the firm, facilitating regular communication with Dakota team members regarding internal policies and procedures, as well as staying abreast of industry updates.
Prior to joining Dakota, Kayla was Senior Compliance Consultant for Advisor Assist where she served as both a consultant and outsourced CCO, counseling clients on registrations, examinations, policies and procedures, regulatory rule interpretations, acquisitions, agreement reviews, and risk assessments. Previously, Kayla’s 7-year career as Compliance Consultant and Vice President for Compliance Advisor Professionals, LLC cemented a long-term relationship with Dakota. Her SEC, FINRA and state expertise was invaluable during Dakota’s acquisitions of Oakmont Partners, Strategic Asset Management Group, Mikus Capital, and GML Associates.
Kayla holds the Investment Adviser Certified Compliance Professional (IACCP®) designation and is an active member of the National Society of Compliance Professionals (NSCP). She is a graduate of Bridgewater State University, where she earned a Bachelor of Science Degree in Accounting and Management.
A longtime resident of Southern Massachusetts, Kayla enjoys free time with her family and loving boxer, Daisy. An equestrian in her own right, she shares a love of animals and the outdoors by teaching horseback riding to her two young daughters.