Please complete the CAPTCHA to continue
A concise factual answer block for searchers comparing this professional profile.
Ralph S. Powell is listed as Financial Services Principal Trade Review Manager | Investor Services | Supervisory Software Implementation | Compliance Manager | Series 4, 7, 24, 53, 63, 66 | at Vanderbilt Financial Group, a company with 52 employees, based in Raleigh, North Carolina, United States. AeroLeads shows a matched LinkedIn profile for Ralph S. Powell.
Ralph S. Powell previously worked as Sr. Compliance Officer at Vanderbilt Financial Group and Consultant at Vanderbilt Financial Group. Ralph S. Powell holds Bachelor Of Arts - Ba, History from St. Andrews University.
This section adds company-level context without repeating Ralph S. Powell's masked contact details.
Review company-level records connected to Ralph S. Powell before choosing the right outreach path.
Experienced Financial Services Principal Review Manager with demonstrated success leading teams and building and modifying supervisory software for trade review. Expertise with EAI Information Systems and Docupace Jaccomo System. Formerly Vice President at First Citizens Investor Servicesπ π¬ ππππππ₯π¦πππ£ π¦π§π¬ππI lead by example while giving team members both independence and support by conducting internal compliance and quality checks. π π¬ πππ¬ π ππ₯πππ₯π¦ π’π π¦π¨ππππ¦π¦βΎ Achieved 0 internal or regulatory written suitability violations in 23 years at First Citizens.βΎ Earned multiple enterprise-wide awards in recognition of excellence and outstanding service.βΎ Built First Citizens Investor Services trade surveillance models using EAI Information Systems and Docupace Jaccomo System.βΎ Succeeded across functions in Investor Services including Principal Review, Manager of Trading, and New Accounts Team. Within Principal Review, support and provide feedback to Compliance, Sales, Operations, and Trading teams. βΎ Successfully managed 2 broker dealers simultaneously. Received satisfactory audit results.π π¬ ππ’π₯π ππ’π π£ππ§ππ‘ππππ¦Financial Services Review | Regulatory Compliance | Broker Dealer | Team Leadership | Hiring and Mentoring Cloud-Based Operations Software | Audits | Cross-Functional Leadership | Response to FINRA Regulations | National Financial Services as Clearing Broker
Company context helps verify the profile and gives searchers a useful next step.
A career timeline built from the work history available for this profile.
Handle principal approval of alternative investments and annuities for the firm. Conduct audits to ensure the branch follows the firm's policies and procedures. Working on system enhancements and technology projects affecting compliance.
Raleigh, North Carolina, United States
Worked as a Consultant to help improve the effectiveness of the firm's compliance software solutions.πππ¬ ππ’π‘π§π₯πππ¨π§ππ’π‘π¦βΎReduced false account alerts by over 75%.βΎReviewed existing alerts to identify gaps and created alerts to help fill those gaps.βΎReviewed and improved the data mapping of the existing data feeds.
Raleigh, North Carolina, United States
Monitored and adhered to all regulatory rules and regulations. Worked closely with General Agent, registered representatives/advisors, and operations team to ensure all processes and procedures were followed in accordance with the company policies and procedures. Completed all tasks accurately and in a timely manner. Merger with MassMutual Charlotte office.
Raleigh, North Carolina, United States
Led a team of 4 within the Investment subsidiary of First Citizens Bank that handles all annuity reviews, trade reviews, electronic and general correspondence reviews, Investment Advisor account approval, new account maintenance, and new account approvals. Interviewed, hired, and mentored direct reports.πππ¬ ππ’π‘π§π₯πππ¨π§ππ’π‘π¦βΎ CULTURE OF EXCELLENCE: Set and.
Raleigh, North Carolina, United States
Supervised new accounts and trading. In addition, handled trade reviews, annuity approval, complaint handling and resolution, correspondence review, advertising and sales literature reviews, branch audits, and Investment Advisor approval.πππ¬ ππ’π‘π§π₯πππ¨π§ππ’π‘π¦βΎ CULTURE OF EXCELLENCE: Achieved 0 regulatory issues, contributing to First Citizens Investor Services.
Raleigh, North Carolina, United States
Conducted trade reviews, annuity approvals, branch audits, correspondence reviews, advertising and sales literature reviews, and Investment Advisor approval. Resolved complaints.πππ¬ ππ’π‘π§π₯πππ¨π§ππ’π‘π¦βΎ FUND SELECTION: Chosen to select funds for inclusion on the First Citizens Bank Cap Plan (401k). One of only two people selected for this task. Also selected.
Raleigh, North Carolina, United States
Selected for dual role while working in Investor Services within First Citizens Investor Services. Served on team that handled all compliance functions for Ironstone Securities, First Citizens subsidiaries in Florida and Western US.πππ¬ ππ’π‘π§π₯πππ¨π§ππ’π‘π¦βΎ BROKER DEALER MANAGEMENT: Started broker dealer from the ground up. Learned all facets of creating and.
Other employees you can reach at joinvanderbilt.com. View company contacts for 52 employees →
Theresa Deady
Colleague at Vanderbilt Financial GroupWoodbury, New York, United States, United States
View →
JJ
Jordan J. Luna
Colleague at Vanderbilt Financial GroupHampton Bays, New York, United States, United States
View →
JL
Jessica Lewis
Colleague at Vanderbilt Financial GroupMilltown, New Jersey, United States, United States
View →
IH
Israel Harman
Colleague at Vanderbilt Financial GroupNew York, New York, United States, United States
View →
DF
Diana Fletcher, Cfp
Colleague at Vanderbilt Financial GroupWoodbury, New York, United States, United States
View →
LK
Laura K.
Colleague at Vanderbilt Financial GroupNew York City Metropolitan Area, United States
View →
DB
Daniel Bredow
Colleague at Vanderbilt Financial GroupFarmingdale, New York, United States, United States
View →
LF
Lynne Ford
Colleague at Vanderbilt Financial GroupNew York City Metropolitan Area, United States
View →
AM
Alyssa Mcgrath
Colleague at Vanderbilt Financial GroupJonesboro, Illinois, United States, United States
View →
DN
Donna Norian
Colleague at Vanderbilt Financial GroupNew York City Metropolitan Area, United States
View →
Quick answers generated from the profile data available on this page.
Ralph S. Powell works for Vanderbilt Financial Group.
Ralph S. Powell is listed as Financial Services Principal Trade Review Manager | Investor Services | Supervisory Software Implementation | Compliance Manager | Series 4, 7, 24, 53, 63, 66 | at Vanderbilt Financial Group.
Ralph S. Powell is based in Raleigh, North Carolina, United States while working with Vanderbilt Financial Group.
Ralph S. Powell has worked for Vanderbilt Financial Group, Massmutual North Carolina, First Citizens Investor Services, Ironstone Securities Inc., and Td Ameritrade.
Ralph S. Powell's colleagues at Vanderbilt Financial Group include Theresa Deady, Jordan J. Luna, Jessica Lewis, Israel Harman, and Diana Fletcher, Cfp.
You can use AeroLeads to view verified contact signals for Ralph S. Powell at Vanderbilt Financial Group, including work email, phone, and LinkedIn data when available.
Ralph S. Powell holds Bachelor Of Arts - Ba, History from St. Andrews University.
Search by job title, company, industry, location, and seniority. Export verified B2B contact data when you need it.
Start free trial Search contacts