Broker Check
Kathleen Bishop

Kathleen Bishop

CCO

As chief compliance officer of Arch Global Advisors (AGA), Kathleen (Kathy) Bishop ensures that the firm follows SEC and FINRA regulations, not to mention other financial, ethical and cybersecurity guidelines to ensure that client’s data is safe.  

Doing so means that Kathy must keep track of any new compliance rules while making sure all registered representatives are in accordance with them.  She also updates the firm’s compliance manuals and stays on top of ever-changing cybersecurity rules. 

Kathy launched her career at the Cowan Financial Group 35 years ago in St. Augustine, Fl., as an administrative assistant. Her educational background was far different from most of those in the financial world—Kathy attended  Florida Keys Community College studying business and accounting—she then spent time as a bookkeeper and in accounting jobs before receiving her Life, Health, Property & Casualty License working for insurance agencies, which in turn led her to the Cowan Financial Group.  

There, she rose to the position of Chief Operating Officer, as she continued to up-skill”—adding an impressive list of credentials to her resume: Kathy is now a Certified Financial Fiduciary, a Certified Wealth Strategist, and a Chartered Life Underwriter.  

Kathy has learned that the chief ingredient to delivering superior customer service is listening. If you ask a few questions, you get more information,” she says. Those answers will help establish the kind of relationship Kathy feels is beneficial. “We really do feel like family with a lot of our clients,” she says. You attend births of their loved ones, and funerals as well. That is what happens when you work so closely together for so long.” 

Her Background:

Before she became a compliance officer, Kathys upbringing in the then small town of Key West, Florida, involved fishing with her dad and wildlife photography.  Hence if there is anything you want to know about the ocean or how to catch a trout or a grouper, ask Kathy. 

Fun Fact:

She has also been an active volunteer and has been on the board of K-9s United, which is dedicated to improving the resources of law enforcement personnel who handle canines, and Ink, which helps supports teachers of St. Johns County in Florida. She also was an active board member for INK.