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@rfgadvisory.com
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Jake Travis is listed as Senior Director of Compliance and Supervison at RFG Advisory, based in Birmingham, Alabama, United States. AeroLeads shows a work email signal at rfgadvisory.com and a matched LinkedIn profile for Jake Travis.
Jake Travis previously worked as Surveillance Manager at Concourse Financial Group and Branch Auditor at Concourse Financial Group. Jake Travis holds Bachelor Of Science (Bs), Finance from The University Of Alabama.
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Securities offered by Registered Representatives of Private Client Services (“PCS”). Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, a registered investment Advisor.
Listed skills include Banking, Social Media, Public Speaking, Fixed Income, and 19 others.
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Vestavia Hills, Al, Us
• Oversight of investment advisory and retirement plan activity of independent dually-registered and IAR-only advisors.• Supervision of all Advisors acting as client portfolio manager.• Review RIA and BD related marketing materials, external communications, and other promotional efforts on behalf of the firm and Advisors.• Conduct on site audits of Branch Offices for conformity with policies and procedures.
Birmingham, Alabama, Us
• Managed team responsible for ongoing risk assessments and compliance reviews to ensure compliance policies and risk controls are operating appropriately.• Additionally, I served as the firm's main contact to ensure compliance with required cybersecurity changes and identified cybersecurity risks and coordinated with internal partners to resolve incidents.• Responsibilities also included implementing periodic phishing simulations and other cybersecurity related training.• Coordinated distribution and monitoring of Annual Compliance Questionnaire, Annual Compliance Meeting and Firm Element Training.
Birmingham, Alabama, Us
• Conducted on-site and virtual branch audits for approximately 60+ branches/ 120+ Registered Representatives annually.• Prepared summary reports indicating findings and corrective actions.• Ongoing oversight of branch office conformities with firm policies, procedures, and regulatory rules.• Provided training on new policies and technology. • Conducted high-risk and for-cause audits. • 50% travel.
Birmingham, Alabama, Us
• Identify trends in trade reporting systems to detect potential regulatory violations.• Responsible for overseeing compliance with firm's Code of Ethics
Birmingham, Al, Us
• Equity, mutual fund, bond, UIT trading.• Perform account maintenance and asset movement requests.• Provided technical assistance to clients regarding website issues.
Tupelo, Ms, Us
• Reviewed loan origination documents for completeness and accuracy.• Monitored credit inquiries for applicants during underwriting phase.• Performed occupation and income verifications on loan applicants.
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Jake Travis works for RFG Advisory.
Jake Travis is listed as Senior Director of Compliance and Supervison at RFG Advisory.
AeroLeads has found 1 work email signal at @rfgadvisory.com for Jake Travis at RFG Advisory.
Jake Travis is based in Birmingham, Alabama, United States while working with RFG Advisory.
Jake Travis has worked for Rfg Advisory, Concourse Financial Group, Bbva Compass, and Renasant Bank.
You can use AeroLeads to view verified contact signals for Jake Travis at RFG Advisory, including work email, phone, and LinkedIn data when available.
Jake Travis holds Bachelor Of Science (Bs), Finance from The University Of Alabama.
Jake Travis is listed with skills including Banking, Social Media, Public Speaking, Fixed Income, Event Planning, Financial Modeling, Value Investing, and Bloomberg.
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