Horace Hibbert Email and Phone Number
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Over 15 years direct experience working on reviewing communications of firms to ensure compliance with FINRA and SEC rules. Worked at FINRA, a premier regulatory body, as well as with a dynamic global asset management firm in a compliance capacity. Strong knowledge of SEC and FINRA rules as they pertain to advertising and sales materials. Solid understanding of the regulatory framework affecting registered and unregistered funds. Series 7 and 24 licensed.
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Associate DirectorForeside Financial Group, Llc Jan 2007 - PresentReview advertising materials, prospect/sales kits, client kits and communications, websites, social media, digital events, etc., created by financial institutions to determine if they are compliant with the rules of FINRA, SEC and other regulatory bodies.Interact with legal counsels, chief compliance officers, and FINRA reviewers to determine the ultimate way to resolve complex and non routine compliance problems.Conduct training sessions to educate clients and staff members on new regulatory items or new interpretations and provide guidance as to how to comply with the requirements.Drafted several sections of the Foreside compliance manual to reflect current interpretation of FINRA's rules.Write comment letters to financial institutions providing feedback as to how to make the marketing materials compliant with applicable rules.
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Senior AnalystFinra Jan 2000 - Dec 2006Applied FINRA, SEC, MSRB, and SIPC rules and regulations to advertising communications to determine if they were compliant with the rules.Wrote comment letters to FINRA members that explained the reasons that a submission was not compliant and what action had to be taken to make a submission comply with the applicable rule(s).Conducted research and due diligence on non routine submissions by reviewing the rules, prior submissions, No Action Letters, and by speaking with other compliance professionals. -
Financial AdvisorMorgan Stanley Oct 1998 - Jun 1999Developed a network of clients through cold calling, sales presentations, and conferences to form a database of potential clients.Interviewed clients to determine their financial objectives and to understand their financial goals.Made recommendations as to the type of financial products that would be most appropriate for clients based on their objectives and goals.
Horace Hibbert Skills
Horace Hibbert Education Details
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Chemistry -
Marketing
Frequently Asked Questions about Horace Hibbert
What company does Horace Hibbert work for?
Horace Hibbert works for Foreside Financial Group, Llc
What is Horace Hibbert's role at the current company?
Horace Hibbert's current role is Advertising Review Principal at Foreside Financial Group, LLC.
What is Horace Hibbert's email address?
Horace Hibbert's email address is hh****@****des.com
What is Horace Hibbert's direct phone number?
Horace Hibbert's direct phone number is +120755*****
What schools did Horace Hibbert attend?
Horace Hibbert attended Brooklyn College, Penn State University.
What skills is Horace Hibbert known for?
Horace Hibbert has skills like Securities, Aml, Finra, Series 24, Mutual Funds, Series 7, Securities Regulation, Corporate Governance, Series 63, Financial Services, Hedge Funds, Alternative Investments.
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Horace Hibbert
Columbia, Md
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