Clint Ward Email & Phone Number

Knoxville, Tennessee, United States

Huntsville, Alabama, United States

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.

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.

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.

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.

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.

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.

Assistant Disbursing Officer aboard the USS LaMoure County (LST-1194). Promoted to Non-Commissioned Officer within two years.

Bachelor Of Science - Bs, Economics

Masters, Economics