Heidi Roemhildt-Kalisch

Heidi Roemhildt-Kalisch has extensive work experience in the compliance field. Heidi currently holds the position of Senior Compliance Officer - Supervisory Risk and Controls at Hilltop Securities Inc., a role they started in September 2021. Prior to this, they served as an Assistant Branch Manager at the same company from December 2020 to September 2021.

Before joining Hilltop Securities Inc., Heidi worked at Piper Sandler as a Director, Associate Compliance Director/ Compliance Project Manager from an unspecified date in 2019 to August 2020. In this role, they provided compliance subject matter expertise for firm-wide initiatives and ensured compliance with privacy, record retention, and forms, among other responsibilities.

Heidi'swork experience also includes multiple roles at Piper Jaffray. From March 2010 to March 2019, they held the position of Principal, Associate Compliance Director - Global Technology, Surveillance & Shared Services. In this role, they led and developed compliance teams responsible for various areas, including data integrity, global technology/electronic communications, branch audit, and retail surveillance. Heidi also served as a Vice President Compliance Manager - Technology and Shared Services from April 2007 to March 2010, where they developed and managed the global electronic communication program.

Prior to their time at Piper Jaffray, Heidi had their own consulting firm, Heidi Roemhildt-Kalisch Consulting, where they worked as a Compliance Financial Services Consultant. Heidi'sresponsibilities included project management for securities firms and assessing and analyzing companies' compliance policies and procedures.

Heidi's earlier experience includes roles at Piper Jaffray as an AVP - Surveillance Analyst, Assistant Surveillance Analyst, Registered Sales Assistant, Municipal Trading Assistant, and Retail Allocating Clerk. In these roles, they conducted surveillance, supervised sales practices, and performed branch exams, among other duties.

In summary, Heidi Roemhildt-Kalisch has a diverse and extensive background in compliance, with experience in supervisory risk and controls, branch management, project management, and various areas of compliance, such as technology, electronic communications, and surveillance.

Heidi Roemhildt-Kalisch holds a Bachelor of Science degree in Family & Consumer Science with a major in Interior Design and a minor in Business Management from Minnesota State University, Mankato. In addition, they have obtained various certifications including General Securities Principal (Series 24) and General Securities Rep (Series 7) from FINRA, a Minnesota State Insurance license from the Department of Commerce Minnesota, and Uniform Investment Advisor Law (Series 65) and Uniform Securities Agent State Law (Series 63) certifications from FINRA.