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At COMPLY, my focus is on ensuring over 120 SEC and State registered investment advisers understand their compliance obligations. My role encompasses a broad spectrum of activities, including policy and procedures review, marketing materials oversight, and regulatory filings guidance. Through this, I also hope to empower clients with knowledge via webinars, harnessing my competencies in compliance regulations.Previously at Arete Wealth, I honed my skills as the Senior Director of Compliance, where I managed internal compliance audit programs and served as a regulatory liaison, among other critical functions. Prior to my work at the broker dealer, I was the Chief Compliance Officer of Financial Resource Management, which was a State of Tennessee registered investment adviser. The expertise I gained from these positions now fuels my mission to integrate compliance with technological advancements, thereby elevating the operational efficiency and effectiveness of the teams and organizations to which I provide advice.
Arete Wealth
View- Website:
- aretewealthmanagement.com
- Employees:
- 77
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Senior Director, ComplianceArete WealthOakland, Tn, Us
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Compliance ConsultantComply Feb 2024 - PresentAn Enhanced Consultant for over 120 individual SEC and State registered RIA firms. I respond to questions related to financial compliance, review Policy and Procedure Manuals to ensure compliance with appropriate jurisdictions, review advertisement/marketing materials, review Regulatory Filings, provide guidance for digital platform use and frequently co-host webinars and educational events conducted by the firm. -
Senior Director, ComplianceArete Wealth Mar 2021 - Nov 2023Chicago, Illinois, Us• Chief Compliance Officer for NFA Managed Futures• Municipal Principal• Options Principal• Audit Program Manager• AML Principal• Regulatory Liaison• Written Supervisory Procedures Editor and created internal guidance for new policies.• Licensing & Registration• New Rep Onboarding• Continuing Education Coordination• Quarterly 13F filing using data from at least four custodians• Advertising & Correspondence Review
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Compliance OfficerArete Wealth Feb 2016 - Mar 2021Chicago, Illinois, UsRegistered General Representative (S7) Registered General Principal (S24)Registered Municipal Principal (S52)Registered Options Principal (S4)Registered with the NFA (S31)Registered with SEC (S66)
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Branch ManagerArete Wealth Dec 2011 - Oct 2019Chicago, Illinois, Us• BD Trade Review and Monitoring• OBA Monitoring
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Chief Compliance OfficerFinancial Resource Management Dec 2011 - Oct 2019• Chief Compliance Officer• Director of Operations• Director of Technology - new software implementation, network upgrades, vendor liason• Bookkeeper -
Associate Vice President, Compliance AnalystMorgan Keegan Sep 2007 - Oct 2010• Regional Surveillance Analyst (day to day review of trading activities, monthly analysis of broker activity, monthly over site of annuites)• Compliance Registered Options Principal• AML background investigations of companies and individuals• Organized and maintained the Surveillance Desk Procedures• Edited Written Supervisory Procedures• Researched and responded to regulatory requests• Performed parts of the Annual CEO Certification (FINRA Rule 3012)
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Assistant Vice President, Compliance OfficerWunderlich Securities Sep 2004 - Aug 2007• Organization and Implementation of Annual CEO Certification Project (FINRA Rule 3012)• Compliance Registered Options Principal• Edited, implemented and maintained Written Supervisory Procedures• Welcomed new employees to the company and assisting with their individual needs• CRD Files for Form BD, Form U-4 and Form U-5• Prepared and presented annual compliance meetings• Coordinated with vendors to ensure systems remained current and functioning• Assisted in the creation and implementation of a departmental imaging system• Created and prepared PDF documents for online use• Researched and responded to regulatory requests • Supervisory responsibilities included reviewing and approving trade and alert information• Securities Law Research• Performed branch audits – both in town and out of state
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Compliance SpecialistNbc Capital Markets Dec 2001 - Sep 2004• Learned how to evaluate and assess procedures • Reviewed and prepared agreements • Assisted with office inspections • Wrote procedures to comply with the federal regulations • Participated in an arbitration hearing & prepared legal filings • Researched and reviewed regulatory requests
Corrie Scoby Skills
Corrie Scoby Education Details
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The University Of MemphisBusiness & Management Information Systems -
Battle Ground Academy High School
Frequently Asked Questions about Corrie Scoby
What company does Corrie Scoby work for?
Corrie Scoby works for Arete Wealth
What is Corrie Scoby's role at the current company?
Corrie Scoby's current role is Senior Director, Compliance.
What is Corrie Scoby's email address?
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What is Corrie Scoby's direct phone number?
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What schools did Corrie Scoby attend?
Corrie Scoby attended The University Of Memphis, Battle Ground Academy High School.
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Corrie Scoby has interest in Children.
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Corrie Scoby has skills like Series 7, Securities, Finra, Financial Services, Investments, Management, Mutual Funds, Securities Regulation, Series 24, Series 63, Investment Banking, Investment Advisory.
Who are Corrie Scoby's colleagues?
Corrie Scoby's colleagues are Cristina Terrana, Jay S Sheth, Ronan Cox Cima® Cpwa®, Dan Meehan, John Attigliato, Adam Gonzalez, Brandon Disimone.
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