Marissa Harris Email and Phone Number
Marissa Harris work email
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Marissa Harris personal email
With expertise in broker-dealer compliance and a proven record in first line risk management, I ensure compliance programs remain strong and effective through the strategic application of risk management fundamentals.
Synchrony
View- Website:
- synchronyfinancial.com
- Employees:
- 9246
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Head Of Business Line Risk Management - LendingSynchrony Mar 2024 - PresentSpearhead the strategic execution of the firm’s first line risk management framework, driving compliance with industry rules and regulations and the elimination of control gaps and weaknesses for the recently acquired former Ally Lending line of business.
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Head Of Business Line Risk Management - Ally LendingAlly May 2022 - Feb 2024Charlotte, North Carolina, United StatesSpearhead the strategic execution of the firm’s first line risk management framework, driving compliance with industry rules and regulations and the elimination of control gaps and weaknesses. -
Senior Director, Business Line Risk Management - Ally InvestAlly Mar 2019 - May 2022Charlotte, North Carolina AreaAdvanced the strategic build and implementation of the first line risk management framework for the self-directed broker-dealer, robo-advisor, and wealth management arms of Ally Financial.
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Chief Compliance OfficerJla Securities Nov 2021 - Apr 2023Charlotte, North Carolina, United StatesImplemented and executed the registered representative oversight and supervision program for the reinsurance broker-dealer arm of Ally Financial.
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Compliance ManagerLpl Financial Aug 2018 - Mar 2019Ft. Mill, ScOversaw the daily operation of compliance processes conducted offshore as part of the broader firm investment advisor oversight and supervision program. -
Compliance ManagerLpl Financial Feb 2015 - Aug 2018United StatesManaged 11 compliance professionals supporting the Financial Crimes Compliance, Surveillance, Supervision, Advisory Compliance, and Risk Management teams for the wealth management firm’s overall compliance program. Promoted from senior analyst in 2016.
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Manager, Brokerage OperationsTradeking Apr 2014 - Feb 2015United StatesOversaw 12-member operations department ensuring proper workflow, timely and accurate processing of back-office account opening and account maintenance routines, and mitigation of operational risks.
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Supervisor – Trading And Customer SupportTradeking Apr 2008 - Apr 2014United StatesSupervised 6 registered representatives and oversaw the self-directed broker-dealer’s client services e-Communications platform.
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Case Manager – Customer Service Security GroupE*Trade Mar 2006 - Jul 2007United StatesManaged client account compromises by offering remediation efforts within the parameters of internal compliance policies and industry regulations.
Marissa Harris Skills
Marissa Harris Education Details
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Economics -
Master Of Business Administration - Mba
Frequently Asked Questions about Marissa Harris
What company does Marissa Harris work for?
Marissa Harris works for Synchrony
What is Marissa Harris's role at the current company?
Marissa Harris's current role is Senior Risk and Compliance Leader.
What is Marissa Harris's email address?
Marissa Harris's email address is ma****@****lly.com
What schools did Marissa Harris attend?
Marissa Harris attended Rutgers University, East Carolina University.
What skills is Marissa Harris known for?
Marissa Harris has skills like Series 63, Series 53, Due Diligence, Business Process Re Engineering, Anti Money Laundering, Cross Functional Team Leadership, Regulatory Risk, Risk Compliance, Finance, Change Management, Series 24, Series 4.
Who are Marissa Harris's colleagues?
Marissa Harris's colleagues are Mohammed Numan Naveed, Angelene Davila, Felecia Dunlap, Jodie Hopkins, Grace Niharika, Vyaasa Jayesh, Jason Larkins.
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