Mitchell Wade Email & Phone Number

Engage with employees at all organizational levels, translating complex topics into clear, understandable language.Proficient in researching, understanding, and analyzing financial, legal, operational, and regulatory requirements, including FINRA, SEC regulations, and state securities laws.Led and managed key compliance projects, overseeing the project from initiation to completion.Conduct Principal review of marketing materialsDevelop and implement the annual compliance meeting as well as the firm wide continuing education.

Denver, Colorado

Pre-Trade Compliance- Investigate and resolve pre-trade alertsPost-Trade Compliance-Maintain compliance issues logReview and set up new accounts and guidelines amendmentsFund annual disclosure updates

Greater Denver Area

Greater Denver Area

Denver, Colorado

Clemson University

Washington D.C. Metro Area

Assist the Dean; Answer phone call, contact business partnersResearch assistant; aid development of innovation center on campus

Washington D.C. Metro Area

Congressional Intern for Congressman Mica Constituent Services; answered phone calls, led tours, etc. Research assistant; supported congressional meetings and initiatives

Bachelor Of Science (Bsc), Economics

Education record

Study Abroad, Spring semester of Junior year.

Graduate

Played on Varsity Soccer Team Treasurer of Environmental Club