Florence Vargas 

Compliance Analyst III

Florence Vargas

Florence joined Frost Investment Advisors, LLC, in 2011.  Florence has over 15 years of investment experience, which includes mutual fund sales, retail brokerage, and compliance, in both the public and private sector. 

As a Compliance Analyst III with the Adviser, Florence works in tandem with other compliance personnel to verify the Adviser’s compliance with internal policies and procedures, specifically the Investment Advisers Act of 1940 requirements as they apply to registered funds and separately managed accounts.  In addition, she also assists with the effort to conduct the due diligence and analysis of all marketing collateral produced by the Adviser.

Prior to her role as a Compliance Analyst III with the Adviser, Florence served as an Internal Auditor for Frost Bank. 

She earned a Bachelor of Business Administration degree in Finance from the University of Texas at San Antonio and her Master’s degree in Finance and Accounting from Our Lady of the Lake University.