Jeff Clevenger Email and Phone Number
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Senior Compliance and Risk Professional with 20+ years experience in federal securities laws, risk management and financial crimes prevention for large financial services companies. A demonstrated record of effectively managing regulatory examinations with the Securities and Exchange Commission, Federal Reserve Bank and various external audit firms. Compliance focused with relevant experience in identifying suspicious activity by implementing transaction-monitoring tools and thorough knowledge of Anti-Money Laundering Laws, Bank Secrecy Act, OFAC Regulations and the USA Patriot Act.
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Director-Aml & Sanctions CompliancePrincipal Financial Group Aug 2022 - PresentDes Moines, Iowa, UsResponsible for ensuring compliance with regulatory obligations of the Bank Secrecy Act (BSA) and collaborating with non-US operations with other global sanctions regimes applicable to Principal’s operations.
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Chief Compliance Officer & Aml Compliance OfficerWaddell & Reed Jan 2019 - Aug 2022Shawnee Mission, Ks, UsChief Compliance Officer and AML Compliance Officer for the Waddell & Reed Transfer Agent and our custodial bank. Responsible for all compliance transfer agent functions including compliance with the Bank Secrecy Act, OFAC Rules, USA Patriot Act, SEC, Suspicious Activity Report Filings, FINRA and FinCEN Rules. Coordinate and supervise financial investigations related to fraud, money laundering, compromised accounts, vulnerable adults and financial exploitation of elders. -
Assistant Vice President And Aml Compliance OfficerWaddell & Reed Nov 2010 - Jan 2019Shawnee Mission, Ks, UsAML Compliance Officer (BSA Officer) for the Waddell & Reed Broker Dealer, Ivy Funds Distributor, Inc, the Transfer Agent and our custodial bank. Coordinate and monitor all compliance related issues within the transfer agent, including compliance with the Bank Secrecy Act, OFAC Rules, USA Patriot Act, SEC, Suspicious Activity Report Filings, FINRA and FinCEN Rules. Responsible for investigations related to fraud, money laundering, compromised accounts, vulnerable adults and financial exploitation of elders. This includes interacting with other financial institutions, local and federal law enforcement. Responsible for financial intermediary oversight of firms who have contracted to sale our funds and for identifying excessive trading activity within the funds.
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Client Services Officer-Compliance DepartmentBoston Financial Data Services Dec 1994 - Nov 2010UsDirected the compliance and risk management operations for the largest mutual fund transfer agent during a time that has seen significant change in the regulatory environment. Responsible for ensuring the organization has procedures to comply with Federal Security Laws, Bank Secrecy Act and State Regulations. Effectively coordinated risk management and anti-money laundering activities for the company while serving as the main contact for client’s Chief Compliance Officers and Anti-Money Laundering Officers. Selected to present at client forums and facilitate client due diligence visits, as well as represented the organization on industry committees such as the ICI Fraud Working Group. Responsible for all aspects of personnel decisions including, but not limited to, pay, performance appraisals, promotions and termination. Successfully recruited, interviewed and hired staff for a compliance organization resulting in a 100% increase in head count over a five-year period
Jeff Clevenger Skills
Jeff Clevenger Education Details
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University Of Missouri-Kansas CityInformation Systems -
Missouri Western State UniversityPolitical Science
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Missouri Western State UniversityParalegal Studies
Frequently Asked Questions about Jeff Clevenger
What company does Jeff Clevenger work for?
Jeff Clevenger works for Principal Financial Group
What is Jeff Clevenger's role at the current company?
Jeff Clevenger's current role is Director-AML & Sanctions Compliance.
What is Jeff Clevenger's email address?
Jeff Clevenger's email address is jc****@****ell.com
What is Jeff Clevenger's direct phone number?
Jeff Clevenger's direct phone number is +191323*****
What schools did Jeff Clevenger attend?
Jeff Clevenger attended University Of Missouri-Kansas City, Missouri Western State University, Missouri Western State University.
What are some of Jeff Clevenger's interests?
Jeff Clevenger has interest in Soccer, Running.
What skills is Jeff Clevenger known for?
Jeff Clevenger has skills like Mutual Funds, Financial Services, Finra, Securities, Aml, Risk Management, Series 7, Anti Money Laundering, Due Diligence, Compliance Oversight, Fraud Detection, Business Analysis.
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