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.
• 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.
• 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.

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.