Michael Embree Email & Phone Number

18 years as a licensed financial professional. Hold Series 7, 63, 66, 9, 10. 14 years with current employer with experience starting in client service and furthering my skill set and licensure to working in phone sales with retail brokerage clients. From there I moved to client facing in the wealth management forum helping with banking, operations support, and more recently a Financial Advisor. Currently I use the knowledge and skills gained in a senior position analyzing and overseeing various data sets to mitigate risk in sales practices of advisors and ensuring adherence to policy, procedures, and reg BI. Partnership with business partners and senior management is imperative to ensure behaviors and issues are appropriately identified and escalated as needed. Responsible for full loop remediation of issues from receipt of data, analysis, communication to leadership of research population, collaboration with leadership to determine next steps/escalation, and reporting of trends.

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  University Of Massachusetts Dartmouth

  Business Administration And Management, General