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@finra.org
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7 phones found area 510, 913, 406, and 816
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Lisa Haffner is listed as Principal Examiner based in Kansas City, Missouri, United States. AeroLeads shows a work email signal at finra.org, phone signal with area code 510, 913, 406, 816, and a matched LinkedIn profile for Lisa Haffner.
Lisa Haffner previously worked as Vice President at Jp Morgan Securities and VP, Director of Supervision at D.A. Davidson Companies. Lisa Haffner holds Bachelors Of Science from University Of Kansas.
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AeroLeads found 1 current-domain work email signal for Lisa Haffner. Compare company email patterns before reaching out.
I ensure companies and staff comply with the laws, rules, policies and ethical standards governing the securities sector. Possess professional certifications Securities Industry Essentials Exam (SIE), Series 7, 24, 66 and 9/10. Over 15 years’ experience devising and implementing comprehensive policies, procedures and systems to protect financial institutions from regulatory and reputation risk. QUALITY & COMPLIANCE LEADER: I bring a unique perspective to the table resulting from working for a regulator, within the compliance sector and supervising day-to-day business operations. My collaborative leadership style, persuasive communication style and creative problem-solving skills have served me well to increase awareness of compliance issues while facilitating positive change and operational excellence across organizations.ACTIVE LISTENER: By analyzing information from diverse sources, I can quickly identify organizational needs and develop initiatives that reduce exposure to compliance risk. Listening to and collaborating with staff and senior management are pivotal to raising the level of awareness of potential compliance risks. I maximize business value by prioritizing resources and providing support to combat threats to company's reputation, its people and its capital investment. FACILITATOR OF BUSINESS SUCCESS: I am proud that my efforts have resulted in 1) improvement in new account set up cycle time and greater customer satisfaction by collaborating with compliance, program management and operations to finalize the supervisory approval process for advisory accounts; 2) revenue increase by adding an enhanced business line with minimal investment risk; 3) drop in accounts out of “know your client” compliance while introducing processes that protected clients in future investment decisions. Please email me at: ✉ lhaffner63@comcast.net
Listed skills include Leadership, Management, Compliance Management, Analytical Skills, and 9 others.
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San Francisco Bay Area
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small businesses, commercial banking, financial transaction processing and asset management. A component of the Dow Jones Industrial Average.
Seattle, Washington
A full-service brokerage firm and registered investment advisor with net revenues of $223.1 million.Directed the six-person regional supervisory management team that reviewed trade activity based on risk analysis. Worked with compliance, legal and senior management to implement policies / procedures and oversaw the surveillance systems. Decrease in.
San Francisco Bay Area
A provider of wealth management services with $289 billion in client assets and approximately 1,800 financial advisors.Managed 45 staff and the complex operations. Assisted with budget and expense control. Oversaw the cultural, operational, product development and commercial activities.100% success accomplished in promotion of qualified staff members.
San Francisco Bay Area
A provider of wealth management services with $289 billion in client assets and approximately 1,800 financial advisors.Reviewed the activities of 67 financial advisors and more than 40 support personnel while supervising the sales function.Turned around an at-risk financial advisor by restructuring the business model to achieve success.Retained financial.
San Francisco Bay Area
A provider of wealth management services with $289 billion in client assets and approximately 1,800 financial advisors. Conducted annual complex and branch inspections as lead officer and as a group member. Helped the firm comply with the laws, rules, policies and ethical standards governing the securities industry. Identified potential fraud and.
Great Falls, Montana Area
A provider of wealth management services with $289 billion in client assets and approximately 1,800 financial advisors. Supervised daily business activities of financial consultants in medium-sized complex. Led operational activity within the complex for eight months. Managed 35 complex / branch support staff. Significant error and rejection rate reduction.
Great Falls, Montana Area
A full-service brokerage firm and registered investment advisor with net revenues of $223.1 million.Assigned to work with 12 retail branch offices and the capital markets business line including institutional and retail trading desks, specialist posts on the Pacific Stock Exchange in San Francisco and Los Angeles, investment banking, fixed income and.
Kansas City, Missouri Area
An independent, nonprofit organization authorized by Congress to ensure the broker-dealer industry operates honestly.Conducted investigations of customer complaints, terminations for cause and miscellaneous matters of regulatory concern to enforce compliance with securities laws by brokerage firms and associated persons. Authored / edited articles and rule.
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Lisa Haffner is listed as Principal Examiner.
AeroLeads has found 1 work email signal at @finra.org for Lisa Haffner.
AeroLeads has found 7 phone signal(s) with area code 510, 913, 406, 816 for Lisa Haffner.
Lisa Haffner is based in Kansas City, Missouri, United States.
Lisa Haffner has worked for Jp Morgan Securities, D.A. Davidson Companies, Rbc Wealth Management, Rbc Dain Rauscher, and D.A. Davidson & Co..
You can use AeroLeads to view verified contact signals for Lisa Haffner, including work email, phone, and LinkedIn data when available.
Lisa Haffner holds Bachelors Of Science from University Of Kansas.
Lisa Haffner is listed with skills including Leadership, Management, Compliance Management, Analytical Skills, Risk Analysis, Risk Management, Strategic Planning, and Program Management.
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