Ryan Lupton Email & Phone Number

Lansing, Mi, Us

Responsible for overseeing Jackson Distribution’s compliance with all applicable securities and insurance related laws and regulations.

Lansing, Mi, Us

St. Louis, Missouri, Us

• Lead the Retail Compliance Program for approximately 12,000 Financial Advisors and 5,300 Licensed Bankers across stand-alone private client offices and in-bank brokerage locations.• Manage multiple compliance support functions, including In-Bank Brokerage Compliance, Employee Activities, Private Wealth FA Compliance, Retail Compliance Advice, Registrations Compliance, and Retail Sales of Non-Deposit Investment Products (RSNIP) Compliance. • Collaborate with the Chief Compliance Officer and other leaders across Compliance to drive the strategic direction of the department and execute department-wide reporting such as FINRA 3130 Certifications. • Partner with business leaders across Wells Fargo Advisors and Wells Fargo Wealth and Investment Management to provide advice and counsel on key line of business initiatives and strategy.• Serve as a senior escalation point for compliance issues originating out of client facing teams.

St. Louis, Missouri, Us

• Lead the brokerage compliance program for approximately 3,400 Financial Advisors in Wealth Brokerage Services and 5,300 Licensed Bankers across Wealth Management and Consumer Banking.• Regularly engage with executive leadership in various banking and brokerage business units across Wells Fargo advising on topics such as compliance risk, regulatory issues, cross-business initiatives, risk assessment activities, training, and channel strategic direction.• Partner with Compliance teams in banking and brokerage to navigate line of business regulatory requirements, specifically how they may overlap or diverge.• Brokerage compliance support for Wells Fargo Bank’s RSNIP program. • Consistent partnership with and support to various areas of Retail Compliance, including Branch Exams, Surveillance, Employee Activities Group, and Retail Compliance Advice Group.• Deliver training and education on behalf of Retail Compliance via in-person speaking engagements to client facing team members and supervisors across various businesses.

St. Louis, Missouri, Us

• Interpret securities regulation passed down by industry regulators such as FINRA, SEC, NYSE, CBOE, and MSRB and direct implementation and design of controls to comply with regulations.• Compliance lead on various projects impacting trading such as consolidation of two affiliated broker-dealers, allocation level trade reporting, TRACE/MSRB reporting, and markup disclosure. • Key Compliance leader for the working group responsible for the creation of the Wells Fargo Advisors Volcker Compliance Program. Advise other lines of business on Volcker best practices. • Responsible for the creation and execution of Wells Fargo Wealth and Investment Management annual Volcker CEO Summary Reports and Sub-Attestations.• Lead working groups when engaged by testing or audit teams. • Create and implement firm level training courses dedicated to new rules and regulations. • 2015 Wells Fargo Clearing Services Compliance Manager of the Year.

St. Louis, Missouri, Us

• Manage junior consultants with responsibility for training on various Firm policies and procedures across business lines and supervising work product.• Facilitate communication between product partners, channel management, and external business partners regarding new compliance initiatives and provide advice and guidance when necessary. • Subject matter expert in various products and services including annuities, alternative investments, structured products, bonds, mutual funds, UITs, syndicate, equities, ETPs, and offshore products.• Draft and maintain client education guides for products offered by Wells Fargo Clearing Services.

St. Louis, Missouri, Us

• Review and approve communications with the public and sales material for compliance with FINRA 2210 for Wells Fargo Advisors branch offices and home office departments.

St. Louis, Missouri, Us

• Provide assistance to Financial Advisors in the acquisition and disposition of securities, including trade corrections and cancellations.

Us

• Centralized manager for multiple Financial Advisors in a designated region.• Perform suitability analysis and principal approval on annuity applications.• Principal approve trade blotters, managed account agreements, margin account agreements, mutual fund switches and attestations, and Unit Investment Trust sales agreements.• Document customer complaints for firm records.