Kimberly Jansky Johnson Email & Phone Number

New York, Us

Dallas, Tx, Us

Outsourced CCO and AMLCO for independent institutional broker-dealer. Led regulatory compliance strategy, program enhancements, and partnered with the CEO to strengthen the Compliance team.

London , London , Gb

Built 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.

Detroit, Mi, Us

Designed 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).

San Diego, Ca, Us

LPL 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.

Springfield, 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).

Greer, 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.

Detroit, Mi, Us

Formerly 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.

● 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

Madison, 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