Maria Humphrey Email and Phone Number
900 Middlefield Road, Floor 2, Redwood City, California 94063, us
Maria Humphrey's Location
La Center, Washington, United States, United States
Maria Humphrey's Contact Details
Maria Humphrey work email
- Valid
- Valid
Maria Humphrey personal email
n/a
About Maria Humphrey
With a background in startups, I am a finance enthusiast. I have experience coordinating with cross-functional teams to complete complex compliance and regulatory projects.In my roles, I have created and over-sought multiple compliance and risk programs. I have also gone through the FINRA New Membership application to launch a Broker-Dealer as the CCO. I have my Series 24, 7, and 66 and experience managing a team.
Maria Humphrey's Current Company Details
Wealthfront
View
Compliance Officer l Fintech Enthusiast l Series 24 Principal
900 Middlefield Road, Floor 2, Redwood City, California 94063, us
- Website:
- wealthfront.com
- Employees:
- 51
Maria Humphrey Work Experience Details
-
Senior Compliance AssociateWealthfront Sep 2023 - PresentPalo Alto, California, Us
-
Senior Compliance OfficerQuil Sep 2022 - Jun 2023Head of the company's Compliance department that launched a full-scale compliance program including, third-party due diligence, risk testing and reporting, regulatory research, and an AML program. Working with multiple teams to implement the compliance program in addition to product and marketing reviews.
-
Senior Compliance OfficerUnest Jul 2020 - Aug 2022North Hollywood , California, UsUNest Securities - Chief Compliance Officer that went through the NMA process to launch a Broker-Dealer. Registered Principal supervised and managed a team of 4 that handled all Operations functions. AML Officer and handled regulatory filings and audits.UNest Advisers - Chief Compliance Officer handled regulatory filings, marketing approvals, escalations and new product launches. Experience with stocks, bonds, ETF's and Crypto. -
Compliance AssociateAcorns Jun 2019 - Jun 2020Irvine, California, UsThe main point of contact for new regulations and regulatory disciplinary actions. Researched, read, analyzed and implemented financial regulations. Directly supported the Chief Compliance Officer with audit requests from the SEC, FINRA, and third party companies. Worked with other teams to gather production documents and drafted responses. Managed day to day compliance tasks that included escalations, monitoring, complaints, marketing review, team training, data gathering and analysis. AML experience while monitoring accounts for suspicious activity. -
Senior Operations AssociateAcorns Feb 2019 - Jun 2019Irvine, California, UsThe main point of contact for Acorns Later provided both financial and technical help to users and communicating with custodians and other third parties. Day to day duties included providing investment advice, monitoring new accounts, suspicious activity logs, and trading and rebalancing as needed.Main point of contact for retirement compliance questions for the firm. Also, researched FINRA, DOL and IRS standards, and updating policies and procedures as needed.
-
Operations AssociateAcorns Nov 2017 - Feb 2019Irvine, California, UsAs a part of the Acorns Securities team, I helped facilitate the day to day securities operations of the firm. These duties included trading, rollovers/transfers, funding source changes and account preapprovals. I also was the main point of contact regarding Acorns Later and worked closely with our custodian and product team for developments regarding the retirement product.
-
Relationship ManagerVault Investing Sep 2017 - Nov 2017I was the main point of contact for all of Vault’s clients, providing both financial and technical help. I oversaw all client contact to determine the client needs, such as correspondence, gifts, compliance data gathering and trading and re-balancing as needed.Under the CCO, I helped to oversee compliance for the firm. This includes monitoring and logging the firm's social media activities, media approvals, and client gifts. Also, researching FINRA and DOL standards, and updating Vaults policies and standards as needed.I also was responsible for monitoring and responding to all of Vaults social media inquires and upkeep the firm's website.
-
Client Service AssociateCable Hill Partners Sep 2016 - Sep 2017Portland, Or, UsI provided support for four Financial Advisers, and three Relationship Managers, providing service to both private clients and 401(k) plans, on the administrative, custodian, cashiering and client service levels. What is is integral to this role is handling client requests, with strong communication skills and attention to detail. I thrived in this role with proactive planning, anticipating the clients needs, and forming effective processes. In addition to client relations, I worked on firm projects every quarter. I have helped coordinate and manage large mailings to clients, which included designing a 2017 calendar. I also help to plan events for the firm. This role also handles vendor-related issues, expense reporting, and practices general office management duties. -
Senior ReceptionistNike May 2016 - Sep 2016Beaverton, Or, UsI provided administrative support to Nike WHQ employees and customers while also providing excellent customer service. I maintained current working knowledge of operational systems and technology while administering Nike’s Visitor Management system. I received, recorded, tracked, and distributed all checks, packages, and documents to employeeswhile keeping an accurate and complete data record. I answered, screened, and directed internal and external phone-calls as well. I worked in a high-volume environment while working with multiple programs simultaneously -
Legislative AideState Of Oregon Sep 2015 - Apr 2016Salem, Or, UsI managed the policy bills for a State Representative and also handled constituent cases and inquires. I managed the daily operation of the office and helped to maintain the Representatives schedule.I tracked bills as they went through the legislative process and worked on articles, talking points, and news letters for my Representative as well. -
Deputy Finance DirectorFriends Of Val Hoyle Jun 2015 - Feb 2016I helped to plan and execute fundraising events for the campaign. I also did donor research and constructed donor outreach plans. I helped to write and send emails and other social media solicitations.
Maria Humphrey Skills
Writing
Policies And Procedures
Social Media
Compliance Training
Policy Analysis
Event Planning
Legislative Relations
Government
Partner Relationship Management
Compliance Testing
Series 66
Fundraising
External Audits
Regulatory Audits
Compliance Regulations
Public Policy
Notary Public
Risk Assessment
Fintech
Legal Compliance
Community Outreach
Regulatory Compliance
Series 7
Series 24
Due Diligence
Politics
Political Campaigns
Compliance Management
Legislation
Campaigns
Securities
Maria Humphrey Education Details
-
Portland State UniversityPolitical Science And Government
Frequently Asked Questions about Maria Humphrey
What company does Maria Humphrey work for?
Maria Humphrey works for Wealthfront
What is Maria Humphrey's role at the current company?
Maria Humphrey's current role is Compliance Officer l Fintech Enthusiast l Series 24 Principal.
What is Maria Humphrey's email address?
Maria Humphrey's email address is ma****@****lth.com
What schools did Maria Humphrey attend?
Maria Humphrey attended Portland State University.
What skills is Maria Humphrey known for?
Maria Humphrey has skills like Writing, Policies And Procedures, Social Media, Compliance Training, Policy Analysis, Event Planning, Legislative Relations, Government, Partner Relationship Management, Compliance Testing, Series 66, Fundraising.
Who are Maria Humphrey's colleagues?
Maria Humphrey's colleagues are Ryan M. Anderson, Nick Atkins, Yuan H., Amelia Yeoh, Liz Lazor, Mehdi Bouzekri Jr., Britney Rafols.
Free Chrome Extension
Find emails, phones & company data instantly
Find verified emails from LinkedIn profiles
Get direct phone numbers & mobile contacts
Access company data & employee information
Works directly on LinkedIn - no copy/paste needed
Aero Online
Your AI prospecting assistant
Select data to include:
Total price:
$0.00
0 records × $0.02 per record
Download 750 million emails and 100 million phone numbers
Access emails and phone numbers of over 750 million business users. Instantly download verified profiles using 20+ filters, including location, job title, company, function, and industry.
Start your free trial