Marilyn Serves As the Associate Chief Compliance Officer for Harris, N.A. and Harris Investment

Marilyn Smith

Marilyn serves as the Associate Chief Compliance Officer for Harris, N.A. and Harris Investment Management Company. For 2 years prior to joining Harris in 2005, she served as the Compliance Director at Strong Financial Corporation, headquartered in Menomonee Falls, Wisconsin focusing on mutual fund and adviser activities for its registered Investment Advisor, registered Investment Company, Broker/Dealer, Transfer Agent, and Retirement Plan Services companies.

Prior to the Strong engagement, Marilyn was employed at Bank One as a Senior Compliance Manager after its merger in 1998 with First Chicago NBD Bank in Chicago, Illinois. She has worked as Trust, Investments and Information Systems Audit Manager and as Fiduciary Compliance Manager with Bank One predecessor organizations. During that period she provided front office, middle office, and systems regulatory advice, guidance and risk management to the trust department including personal trust, retirement services, corporate trust, investment advisor and trust operations. She also served as a regular instructor in fiduciary topics for the Bank One Trust School and has instructed in other investment risk management topics. In addition to the 15 years at Bank One, she spent nine previous years with ABN/LaSalle Bank in various Internal Audit capacities.

Marilyn holds a Bachelor of Science degree in Business Administration – Accounting from Loyola University of Chicago and a Masters of Business Administration with a concentration in Management Information Systems from Roosevelt University of Chicago. She is a Certified Trust Audit and Compliance Professional CTCP), and a Certified Risk Professional (CRP). She has been a member of FIRMA since 1994. She also holds NASD Series 7,24 and 66 licenses.

Marilyn is completing a 3 -year term on FIRMA’s Board of Directors and serves as Board Secretary and Co-chairperson of the Emerging Risk Issues Committee and as a member of the FIRMA FORUM Publication Committee.

In addition to serving in various capacities with FIRMA, Marilyn also teaches Math, Financial Literacy and Life Skills courses at the Columbia College Saturday Scholar Program in Chicago. She also volunteers with various tax preparation assistance programs, senior citizen life enrichment programs, and an association that focuses on Autism.