Kimberly Jansky Johnson Email and Phone Number
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Kimberly brings a wealth of experience in the financial services industry, spanning over 17 years and encompassing various senior roles such as Senior Vice President, Senior Director, Director, Deputy CCO, and CCO (Chief Compliance Officer). Her expertise extends across multiple domains within compliance, including:Securities and Options Supervision: Kimberly holds FINRA licenses as a Securities and Options Principal, overseeing supervision teams in critical areas such as Communications with the Public, Customer Complaints, and Trade Supervision.Policy and Procedure Development: She has significant experience in rewriting broker-dealer Written Supervisory Procedures (WSPs) for several large firms, ensuring alignment with regulatory requirements and industry best practices.Compliance Program Management: Kimberly excels in developing and deploying comprehensive risk mitigation programs. Her leadership has been instrumental in enhancing and rebuilding compliance programs, driving them to higher efficiency levels while maintaining strict standards of integrity and professionalism.Industry Involvement: She actively participates in industry panels and steering committees, contributing her expertise to shape compliance practices and standards within the financial services sector.Empowering Team Development: Kimberly is passionate about mentoring and empowering team members, fostering their professional growth and enabling upward mobility within the organization. She has a proven track record of building effective teams and nurturing talent to meet the challenges of a dynamic regulatory environment.Kimberly's leadership is characterized by her strategic vision in compliance management, her ability to navigate complex regulatory landscapes, and her dedication to fostering a culture of compliance and excellence within her organizations. Her commitment to maintaining high standards while driving business growth underscores her role as a seasoned compliance leader in the financial services industry.
Fisolve
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Senior Vice President Of ComplianceFisolve Sep 2023 - PresentNew York, Us
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Chief Compliance Officer & Aml Compliance OfficerCapis Sep 2023 - Aug 2024Dallas, Tx, UsOutsourced CCO and AMLCO for independent institutional broker-dealer. Led regulatory compliance strategy, program enhancements, and partnered with the CEO to strengthen the Compliance team. -
Director Of Compliance And Deputy Cco - Broker-DealerEtoro Dec 2021 - Jan 2023London , London , GbBuilt out the broker-dealer Compliance team, developed end-to-end risk and supervision programs including Advertising Regulation, Social Media & e-communications, Customer Complaints, Written Supervisory Procedures (led extensive regulatory review and revisions of existing WSPs) Licensing & Registration, On/Off-boarding, Monitoring & Testing, and more. Key leader for regulatory audits & exams, reporting to executive leadership team.Served as the broker-dealer Chief Compliance Officer from April 2022 - September 2022. -
Senior Director, ComplianceAlly Feb 2020 - Jan 2022Detroit, Mi, UsDesigned end-to-end Compliance Programs including Customer Complaints Supervision including FINRA filings, Books and Records - led the comprehensive regulatory review and full revision of the broker-dealer Written Supervisory Procedures, Social Media Compliance, Advertising and e-Communications Supervision, Licensing and Registration, Operational Oversight (KYC, identify verification, escalations, etc.), Special Projects and more. Senior regulatory expert with extensive FINRA and SEC interactions (examinations, inquiries). -
Vice President Of ComplianceLpl Financial Feb 2017 - Feb 2020San Diego, Ca, UsLPL Financial - Compliance, Legal & Risk (CLR)Vice President, Marketing Regulatory ReviewSubject Matter Expert: FINRA Rule 2210, Communications with the Public and Social Media Compliance. Drove firm-wide initiative to develop industry-leading compliance technology, in accordance with FINRA Rule 2210 and Regulatory Notice 17-18 requirements, to implement a surveillance platform to capture and supervise social media content for 17,000 advisors. Led a team of 56 seasoned professionals including 4 assistant vice presidents, 6 managers, 29 analysts reviewing communications with the public and 17 licensed professionals in multiple support functions including regulatory inquiries, policies & procedures, quality assurance, post-use review, projects and issues management. Average volume levels range from 11,000 - 12,500 marketing material reviews monthly. Under Kimberly's leadership, the target goal to complete 96% of marketing reviews within a tiered timeline service level agreement (SLA) has increased to a sustained average of 99.1% of materials completed within SLA even as volumes increased substantially. -
Corporate Ethics And ComplianceMassmutual Financial Group Aug 2015 - Feb 2017Springfield, Massachusetts, Us(Formerly MetLife Securities)● Led a project team of senior leadership to assess, organize, and improve 1,000+ page broker- dealer written supervisory procedures in a six-month time frame.● Managed the process, while collaborating with department leaders, to strengthen the Firm's compliance policies and procedures. ● Managed Firm’s field communications, and supervised representative's private securities transactions, outside business activities, due diligence cases, and political contributions.● Supervised the drafting and dissemination of corporate compliance field communications.● Introduced and enforced a new, highly efficient process for disseminating Firm’s communications releases which saved 10 hours of work per week.● FINRA Rule 2210 Compliance subject-matter-expert (Communications with the Public).● FINRA Rule 3270 Compliance subject-matter-expert (Outside Business Activities of Registered Persons). -
Director Of ComplianceRegional Management Corp. Jul 2014 - Jul 2015Greer, South Carolina, Us● Identified and deployed a Firm-wide complaints project management system to capture entire lifecycle for all customer complaints from inception to investigation to resolution all within first 60 days of employment.● Built and implemented a Firm-wide management system to actively track license applications and renewals for over 300 offices and nearly 1,500 employees.● Established and implemented a Firm-wide vendor management program and deployed a project management system to categorize vendors on a risk-tiered scale adhering to all state, federal, and CRPB regulatory requirements.● Created and administered employee training on all aforementioned systems.● Managed and provided Principal approval for all of the Firm’s regulatory complaint responses to state agencies, federal authorities, attorneys, and customers.● Key member of senior management team responsible for review and approval of all Firm communications to the public. -
Senior Compliance ManagerAlly Jun 2007 - Jul 2014Detroit, Mi, UsFormerly known as TradeKing● Firm expert of FINRA and SEC advertising regulation and social media requirements.● Led platform adoption of social media surveillance tool SunGard Protegent, including due diligence, directing training, and relationship management. ● Negotiated rate savings of 75% over previous social media tool, an annual savings of $18,000. Platform switch has increased efficiency with timed content releases, image archival capability, and decreased downtime.● Principal approved and managed all of Firm’s public communications with an average of 300 internal review/approvals monthly.● Created, trained employees and enforced extensive QA process for Firm’s weekly website development cycles.● Key trainer and speaker at Firm’s Annual Compliance Training, various compliance conferences, and key responder during Firm’s regulatory audits.● Limited Firm’s risk exposure by identifying content violations and recommending solutions to business principals, protecting company from sizable fines.● Audited Firm’s website, print and electronic retail communications, and furnished regulatory requirements on a monthly basis.● Prepared monthly FINRA filings and proactively addressed any concerns with compliance solutions.● Established an efficient process to provide tracking, education, and guidance for prepared documents with regard to public appearances.● Subject matter expert on content analysis for cross company projects. Trained departments to self-monitor, thereby systematizing approval process and establishing a full feedback loop, resulting in time savings of 40 hours per month.● Created, managed, and trained team on Customer Identification Process and Management Information Systems.● Managed, tracked, and submitted all complaints to FINRA.● Account analysis for limited trade authorizations eligibility.● Created, implemented and managed escheatment process.
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Director Of MarketingSemcom Corporation Oct 2005 - Jun 2007● Built and managed lead generation programs for event based company● Key speaker and moderator of all events● Provided training and performance analysis to speakers and senior management ● Managed back end sales content promotion
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Senior Marketing ManagerColdwell Banker Residential Brokerage May 2002 - Oct 2005Madison, Nj, Us● Corporate Sales Trainer of more than 500 Real Estate Agents ● Managed team of three to launch campaigns for Previews luxury homes market● Implemented creative design for brochures and additional print collateral
Kimberly Jansky Johnson Skills
Kimberly Jansky Johnson Education Details
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University Of ConnecticutBachelor'S Degree
Frequently Asked Questions about Kimberly Jansky Johnson
What company does Kimberly Jansky Johnson work for?
Kimberly Jansky Johnson works for Fisolve
What is Kimberly Jansky Johnson's role at the current company?
Kimberly Jansky Johnson's current role is SVP, CCO, AMLCO. FINRA Series 4, 7, 24, 63, SIE. Senior Executive w/ 17 yrs+ building, enhancing, & supervising regulatory-compliant programs to empower fintech companies to succeed in a complex regulatory environment..
What is Kimberly Jansky Johnson's email address?
Kimberly Jansky Johnson's email address is ki****@****cfs.com
What is Kimberly Jansky Johnson's direct phone number?
Kimberly Jansky Johnson's direct phone number is (212)-884*****
What schools did Kimberly Jansky Johnson attend?
Kimberly Jansky Johnson attended University Of Connecticut.
What are some of Kimberly Jansky Johnson's interests?
Kimberly Jansky Johnson has interest in Children, Economic Empowerment, Civil Rights And Social Action, Education, Human Rights, Animal Welfare, Arts And Culture.
What skills is Kimberly Jansky Johnson known for?
Kimberly Jansky Johnson has skills like Finra, Management, Series 7, Risk Management, Financial Services, Series 24, Investments, Social Media, Trading, Microsoft Office, Aml, Financial Risk.
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