Kelly Tobin

Kelly Tobin Email and Phone Number

Senior Regulatory Compliance Analyst @ Grove Point Financial
Kelly Tobin's Location
Greater Tampa Bay Area, United States
Kelly Tobin's Contact Details

Kelly Tobin personal email

About Kelly Tobin

FINRA licensed securities and options principal with a background in journalism. Field of experience gained in the online brokerage and financial services industries. Specialties: Brokerage compliance, customer complaint handling, associate registration, risk management, customer service, brokerage and clearing operations, trading and investment strategies.

Kelly Tobin's Current Company Details
Grove Point Financial

Grove Point Financial

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Senior Regulatory Compliance Analyst
Kelly Tobin Work Experience Details
  • Grove Point Financial
    Senior Regulatory Compliance Analyst
    Grove Point Financial Sep 2018 - Present
    View
  • H. Beck, Inc.
    Regulatory Compliance Analyst
    H. Beck, Inc. Sep 2018 - Apr 2021
    View
  • Invest Financial Corporation
    Senior Compliance Analyst
    Invest Financial Corporation Jun 2016 - Apr 2018
    Tampa/St. Petersburg, Florida Area
    Identified, analyzed and managed risk exposures to the Firm, Registered Representatives and clients.
  • E*Trade Financial Corporation
    Senior Compliance Manager
    E*Trade Financial Corporation Jul 2013 - Nov 2014
    Jersey City, Nj
    Responsible for the oversight of the Customer Complaints and Associate Registration departments within Compliance.
    View
  • E*Trade Financial Corporation
    Compliance Manager
    E*Trade Financial Corporation Feb 2010 - Jul 2013
    Jersey City, Nj
    Developed and implemented procedures to automate the handling, reporting and record management of customer complaints.
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  • E*Trade Financial Corporation
    Senior Compliance Analyst
    E*Trade Financial Corporation Oct 2004 - Feb 2010
    Greater New York City Area
    Investigated and resolved written customer complaints and regulatory inquiries, ensured customer satisfaction and improved client retention.
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  • Prudential Financial
    Assistant Vice President/Compliance Analyst
    Prudential Financial Jan 2003 - Mar 2004
    Greater New York City Area
    Reviewed sales material created by Financial Advisers for use with current and prospective clients in order to manage risks associated with marketing highly regulated products and services.
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  • Datek Online
    Website And Customer Communication Manager
    Datek Online Jul 1998 - Oct 2002
    Jersey City, Nj
    Implemented procedures to receive, organize, prioritize and complete requests for print and electronic client communication on topics such as trading, margin calls, new products and services and product enhancements.
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Kelly Tobin Skills

Securities Equities Financial Services Fixed Income Risk Management Capital Markets Mutual Funds Hedge Funds Series 7 Series 63

Kelly Tobin Education Details

Frequently Asked Questions about Kelly Tobin

What company does Kelly Tobin work for?

Kelly Tobin works for Grove Point Financial

What is Kelly Tobin's role at the current company?

Kelly Tobin's current role is Senior Regulatory Compliance Analyst.

What is Kelly Tobin's email address?

Kelly Tobin's email address is ke****@****inc.com

What schools did Kelly Tobin attend?

Kelly Tobin attended Rutgers University.

What skills is Kelly Tobin known for?

Kelly Tobin has skills like Securities, Equities, Financial Services, Fixed Income, Risk Management, Capital Markets, Mutual Funds, Hedge Funds, Series 7, Series 63.

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