Jessica Taylor Email & Phone Number

Reno, Nv, Us

Reno, Nv, Us

Longmont, Colorado, Us

Beken Holdings provides back office administrative supports in the areas of Compliance, Finance, IT, People Operations (HR), Marketing, and Strategic Innovation to our subsidiaries (Overture and Array Clinical and Therapeutic Services), and affiliates. Executive leader focused on supporting the organization's vision, mission, and values. Vision: To Make Your Vision a RealityMission: To provide a foundation promoting sustainable growth and innovation.Values:Well-being: Recognize the humanity of our employees by prioritizing their social, financial, mental, and physical health.We promise to foster a supportive environment by encouraging each other to focus on our whole-life balance.Authenticity: Present as your genuine self while maintaining ethics, morals, and mutual respect.We promise to lead with integrity, encourage self-awareness, and honor each other’s differences.Collaboration: Partner with each other to facilitate engagement, emphasize transparency, and utilize our strengths and talents. We promise to actively listen, engage, share ideas, and participate.Excellence: Operate with the highest standards. We promise to remain at the forefront of innovation.

Longmont, Colorado, Us

Executive Leader overseeing People Operations (Human Resources) that includes the whole employee life cycle (including, but not limited to, recruitment, hiring, onboarding, specialized training, benefits, performance management, conflict resolution, offboarding), DEIB engagement, culture leadership, and wellness management.

Longmont, Colorado, Us

Oversee HR department operations and ensure all regulatory requirements are met. Assure appropriate policies and procedures and practices are in place. Oversee compliance risk areas. Serve as key and active member of the Executive team to ensure business objectives are aligned with organizational goals and regulatory compliance.

Lone Tree, Colorado, Us

• Compliance Program - Oversee all components of the compliance program for a full service independent advisory firm managing $400+ million in assets with 5 advisors, as well as compliance for our newly formed private fund. Responsibilities include, but are not limited to, timely and accurate regulatory reporting, maintenance of compliance manuals, and consistent monitoring of risks and requirements including trade and correspondence review. CCO delegate.• Policies and Procedures - Maintain policies and procedures to ensure all operations of the firm are conducted in compliance with applicable regulations. Annual review/revision/testing.• Regulation- Manage the registration and filings for the firm and its personnel with the appropriate regulatory agencies (e.g., SEC, Broker-Dealer, state) and serve as the primary contact with regulators during exams and inquiries. • Advise and Train - Advise and direct senior management, advisors and staff on all issues concerning compliance rules, regulations, and procedures. Manage all training of the compliance program to all employees and advisors.• Business & Risk Monitoring - Conduct testing and monitoring of business activities, including the annual branch compliance audits and annual RIA risk assessments, to ensure compliance with regulations and internal policies and procedures. • Regulatory Knowledge - Maintain thorough understanding of federal securities rules and regulations governing the investment advisory industry through ongoing education and involvement with industry groups. FINRA and SEC. • Operations – Management of the day-to-day operational support functions of firm’s 4 person staff. Also spearheaded the creation of a firm operations manual. Firm financial tracking including overseeing/administering payouts.

Minneapolis, Mn, Us

Supported 4 Financial Advisors managing approximately $350 million in assets.Integral part of advisor's business with my primary job function relating to all operational and administrative issues.Supported Complex Director, and Regional Compliance Risk officer, in compliance related needs including documentation, file reviews and audit prep. And was regularly sent to branch offices across the country to assist with onboarding and for additional trainings.

• Primary responsibility supervising compliance for a newly established full service independent brokerage/advisory firm managing $200+ million in assets with 4 advisors.• Responsible for daily correspondence review, submitting monthly reviews to Broker/Dealer, trade review• Worked as part of the Admin/Operations team helping with overflow work including aggregate asset reports and client paperwork

Salt Lake City, Ut, Us

Supervise all operations and compliance for a full service independent advisory firm managing $900+ million in assets with 11 advisors.Spearheaded and drove the effort to create an Operations Manual for the firm outlining processes and guidelines for all operational and administrative procedures to give clients and advisors consistent service from operations team; host weekly team meetings.

Zurich, Ch

Worked with a team of 2 Financial Advisors managing approximately $230 million in assets.Integral part of the team with my primary job function relating to all operational and administrative issues.

Responsible for cold call recruiting of candidates to fill the needs of clients, Internet research, industry research, creating call plans, facilitating interviews, and ensuring candidates and clients are satisfied with terms of employment.