Clint Ward

Clint Ward Email and Phone Number

Chief Compliance Officer at Greater Sum Ventures @ Greater Sum Ventures
knoxville, tennessee, united states
Clint Ward's Location
Knoxville, Tennessee, United States, United States
Clint Ward's Contact Details
About Clint Ward

Seasoned compliance leader with experience in forging strong relationships at all levels in order to build and maintain a foundation for success as a valued business partner. Decisive, with high ethical standards, and the determination to see projects through to completion. Life-long learner with an eagerness to contribute in all areas of the business.

Clint Ward's Current Company Details
Greater Sum Ventures

Greater Sum Ventures

View
Chief Compliance Officer at Greater Sum Ventures
knoxville, tennessee, united states
Website:
greatersumventures.com
Employees:
38
Clint Ward Work Experience Details
  • Greater Sum Ventures
    Chief Compliance Officer
    Greater Sum Ventures Jul 2022 - Present
    Knoxville, Tennessee, United States
    View
  • Keel Point
    Chief Compliance Officer
    Keel Point Sep 2020 - Jul 2022
    Huntsville, Alabama, United States
    View
  • Mercury Compliance And Risk Services
    Consultant
    Mercury Compliance And Risk Services Apr 2020 - Sep 2020
    Atlanta Metropolitan Area
    We are a full-service compliance and risk consulting firm in the financial services sector with relationships with investment management firms and broker-dealers. In addition, we have relationships with a number of other service providers to bring the very best to our clients. Please check out our website at www.mercurycrs.com.
    View
  • Cibc Private Wealth Us
    Chief Compliance Officer
    Cibc Private Wealth Us Sep 2013 - Apr 2020
    Greater Atlanta Area
    Chief Compliance Officer for all CIBC private wealth entities in the U.S. Oversaw the development, implementation, training, and testing of the firm's regulatory compliance program for multiple regulatory authorities. Served as primary contact for all auditors and regulatory agencies. Managed the Consumer Compliance Program, including reviewing all firm marketing and communications, as well as reviewing and resolving all client complaints. Regularly communicated reports to executive management and board of directors. Served as Compliance team-lead for U.S. private wealth acquisitions. Managed a staff of 7 across the country.
    View
  • Sterling Capital Management Llc
    Chief Compliance Officer
    Sterling Capital Management Llc Jun 2004 - Sep 2013
    Raleigh, North Carolina, United States
    (Formerly BB&T Asset Management, Inc.)Served as Chief Compliance Officer for Sterling Capital Management, an RIA with over $42 billion in AUM. Also served as Chief Compliance Officer for the Sterling Capital Funds, a $7 billion mutual fund family. Developed, implemented, and enforced compliance policies and procedures. Oversaw sub-adviser and service provider due diligence.
    View
  • Evergreen Investments
    Compliance Officer
    Evergreen Investments Jan 2002 - Jul 2004
    Charlotte, North Carolina, United States
    Responsible for the compliance and risk management oversight for Evergreen Investment Management, and all other institutional asset management affiliates of Wachovia Bank. Developed and implemented compliance policies and procedures.
    View
  • Banc Of America Capital Management
    Compliance Manager
    Banc Of America Capital Management Nov 1999 - Jan 2002
    Charlotte, North Carolina, United States
    Supervised staff of four that was responsible for analyzing portfolio holdings of all 85 Nations Funds portfolios for: SEC and IRS limitations, collateral and credit requirements, and the extent and appropriateness of leverage. Developed and implemented an automated process for testing portfolio holdings for credit and counter-party risk. Prepared reports for senior management, the board of directors, regulators, and investors. Managed the Nations Funds annual prospectus update process.
  • U.S. Securities And Exchange Commission
    Securities Compliance Examiner
    U.S. Securities And Exchange Commission May 1995 - Nov 1998
    Philadelphia, Pennsylvania, United States
    Led comprehensive financial, operational, and compliance examinations of investment advisers, mutual funds, transfer agents, and related entities. Analyzed accounting data, financial information, security holdings, and trading patterns of regulated entities. Audit performance calculations. Evaluated findings and formulated conclusions as to the degree of compliance with statutory and regulatory requirements. Participated in preliminary and formal enforcement investigations for possible civil, administrative, and criminal proceedings. Trained junior examiners.
    View
  • Us Navy
    Assistant Disbursing Officer (E-4)
    Us Navy Aug 1988 - Aug 1990
    Assistant Disbursing Officer aboard the USS LaMoure County (LST-1194). Promoted to Non-Commissioned Officer within two years.
    View

Clint Ward Skills

Securities Mutual Funds Asset Managment Investments Alternative Investments Equities Hedge Funds Wealth Management Fixed Income Asset Allocation Investment Management Risk Management Bloomberg Investment Advisory Aml

Clint Ward Education Details

Frequently Asked Questions about Clint Ward

What company does Clint Ward work for?

Clint Ward works for Greater Sum Ventures

What is Clint Ward's role at the current company?

Clint Ward's current role is Chief Compliance Officer at Greater Sum Ventures.

What is Clint Ward's email address?

Clint Ward's email address is cw****@****int.com

What is Clint Ward's direct phone number?

Clint Ward's direct phone number is +140488*****

What schools did Clint Ward attend?

Clint Ward attended Texas A&m University, North Carolina State University.

What skills is Clint Ward known for?

Clint Ward has skills like Securities, Mutual Funds, Asset Managment, Investments, Alternative Investments, Equities, Hedge Funds, Wealth Management, Fixed Income, Asset Allocation, Investment Management, Risk Management.

Who are Clint Ward's colleagues?

Clint Ward's colleagues are Cagney Borella, Brad Luke, Kimberly Kesterson, Joe Pendergrass, Josh Sievers, Michael Casas, Lydia Croley.

Not the Clint Ward you were looking for?

View similar profiles

Free Chrome Extension

Find emails, phones & company data instantly

Find verified emails from LinkedIn profiles
Get direct phone numbers & mobile contacts
Access company data & employee information
Works directly on LinkedIn - no copy/paste needed
Get Chrome Extension - Free

Download 750 million emails and 100 million phone numbers

Access emails and phone numbers of over 750 million business users. Instantly download verified profiles using 20+ filters, including location, job title, company, function, and industry.