Gabriel Ayala work email
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Gabriel Ayala personal email
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Gabriel Ayala has been in the financial services industry for over 15 years, predominantly serving in various Investment Adviser (IA) compliance leadership roles, including Chief Compliance Officer. He has extensive IA compliance experience and has managed IA compliance programs for corporate, independent, dually registered and institutional investment advisers.As a compliance professional in the financial services industry, Gabriel has been driven by a business philosophy and management style that is grounded both in discipline and in sensitivity to the demands of an evolving regulatory environment. “Successful compliance programs,” according to Gabriel, “are wholly dependent upon transparency and effective collaboration.” Whether developing, implementing or monitoring compliance programs, Gabriel resolutely strives to mitigate the firm’s business and regulatory risks. He strongly believes that risk is minimized when regulatory requirements and policy are openly and effectively communicated to all stakeholders.
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Author, SpeakerPa'LanteCastle Rock, Co, Us
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RetiredRetired Apr 2022 - PresentUs -
RetiredRetired Apr 2022 - PresentUs
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RetiredRetired Apr 2022 - PresentUs
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Major RetiredPa'Lante Apr 2022 - Present
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Author, SpeakerPa'Lante Jan 2022 - Mar 2024
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Compliance DirectorCharles Schwab Jan 2015 - Mar 2022Managing the retail investment adviser compliance program and supporting sales and business support colleagues with navigating the investment adviser regulatory environment.
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Vice President, Compliance DirectorInvest Financial Jan 2011 - Dec 2014Appleton, Wisconsin, UsManaged the firms Investment Adviser Compliance, Branch Exams, Continuing Education and Advertising Compliance units.Member of the firms ERISA Task Force. A team of cross departmental leaders collaborating on enhancing business operations and workflow to adhere to ERISA regulation. -
Chief Compliance OfficerJonathan Roberts Advisory Group 2007 - 2010Managed firms investment adviser compliance program. Provided leadership and direction to staff in the execution of daily roles and developed a high performance, goal-focused team.Leveraged strong analytical skills to analyze trade surveillance, regulatory filings, and administer firms WRAP Program.Employed vast industry experience to conduct annual compliance testing, identify areas for improvement, and implement internal controls that significantly improved overall compliance.
Gabriel Ayala Skills
Gabriel Ayala Education Details
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Colorado State UniversityBusin -
River Ridge High School
Frequently Asked Questions about Gabriel Ayala
What company does Gabriel Ayala work for?
Gabriel Ayala works for Pa'lante
What is Gabriel Ayala's role at the current company?
Gabriel Ayala's current role is Author, Speaker.
What is Gabriel Ayala's email address?
Gabriel Ayala's email address is ga****@****.rr.com
What is Gabriel Ayala's direct phone number?
Gabriel Ayala's direct phone number is +1 800 435*****
What schools did Gabriel Ayala attend?
Gabriel Ayala attended Colorado State University, River Ridge High School.
What skills is Gabriel Ayala known for?
Gabriel Ayala has skills like Finra, Series 24, Series 7, Securities, Investments, Iras, Long Term Care, Insurance, Mutual Funds, Series 63.
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