Mimi Forbes
Chief Compliance Officer
Mildred O. Forbes, Esq. “Mimi” serves as the Chief Compliance Officer (CCO) at Xponance® and is responsible for maintaining, developing, and managing the overall compliance program at the firm. She is a member of the Xponance’s Operations Committee, is a non-voting member of the Investment Governance Committee and is the chairperson of the Compliance Operations Risk Committee.
Mimi has over 25 years of legal and regulatory compliance experience with a depth of knowledge of investment adviser and broker-dealer compliance laws, rules, and regulations. Prior to joining Xponance, Mimi was a Senior Investment Compliance Analyst at the Maryland State Retirement and Pension System.Preceding her position with the state of Maryland, Mimi was General Counsel & CCO at Retirement Clearinghouse, a limited purpose broker-dealer, where she obtained her Series 6, 26 and 63 licenses. She began her compliance career as the CCO of a federally registered investment advisory firm. Prior to transitioning her career to compliance, Mimi was an attorney at Forbes, Fields & Associates in Cleveland, Ohio.
In 2022, Mimi was appointed to the Baltimore City Fire and Police Employees Retirement System Board of Trustees by Baltimore City Mayor, Brandon M. Scott. She is a member of the National Society of Compliance Professionals, Cleveland Metropolitan Bar Association, Slow Food Baltimore, and Baltimore City Master Gardeners.
Mimi earned her Juris Doctorate and Master of Business Administration from Howard University and her Bachelor of Arts in Economics from Spelman College. Mimi is admitted to practice law in the state of Ohio.