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@principal.com
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1 phone found area 913
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LinkedIn matched
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Jeff Clevenger is listed as Director-AML & Sanctions Compliance at Principal Financial Group, based in Lenexa, Kansas, United States. AeroLeads shows a work email signal at principal.com, phone signal with area code 913, and a matched LinkedIn profile for Jeff Clevenger.
Jeff Clevenger previously worked as Chief Compliance Officer & AML Compliance Officer at Waddell & Reed and Assistant Vice President and AML Compliance Officer at Waddell & Reed. Jeff Clevenger holds Master Of Business Administration - Mba, Information Systems from University Of Missouri-Kansas City.
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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.
Listed skills include Mutual Funds, Financial Services, Finra, Securities, and 33 others.
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Des Moines, Iowa, Us
Responsible 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.
Shawnee Mission, Ks, Us
Chief 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.
Shawnee Mission, Ks, Us
AML 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.
Us
Directed 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
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Jeff Clevenger works for Principal Financial Group.
Jeff Clevenger is listed as Director-AML & Sanctions Compliance at Principal Financial Group.
AeroLeads has found 1 work email signal at @principal.com for Jeff Clevenger at Principal Financial Group.
AeroLeads has found 1 phone signal(s) with area code 913 for Jeff Clevenger at Principal Financial Group.
Jeff Clevenger is based in Lenexa, Kansas, United States while working with Principal Financial Group.
Jeff Clevenger has worked for Principal Financial Group, Waddell & Reed, and Boston Financial Data Services.
You can use AeroLeads to view verified contact signals for Jeff Clevenger at Principal Financial Group, including work email, phone, and LinkedIn data when available.
Jeff Clevenger holds Master Of Business Administration - Mba, Information Systems from University Of Missouri-Kansas City.
Jeff Clevenger is listed with skills including Mutual Funds, Financial Services, Finra, Securities, Aml, Risk Management, Series 7, and Anti Money Laundering.
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