Ryan Short Email and Phone Number
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Ryan Short personal email
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Ryan Short is a ED - Compliance Risk and Innovation Officer at Rabobank. He possess expertise in series 9 held through lpl financial, series 10 held through lpl financial, series 7 held through lpl financial, series 66 held through rfg advisory group, compliance and 6 more skills.
Rabobank
View- Website:
- rabobank.nl
- Employees:
- 48373
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Ed - Compliance Risk And Innovation OfficerRabobankSt. Louis, Mo, Us
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Svp - Compliance Risk & Control Framework OfficerRabobank Mar 2023 - PresentUnited States
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Vp - Compliance Risk Assessment OfficerRabobank Mar 2021 - Mar 2023Greater St. Louis
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Regional Compliance Reporting And Information OfficerRabobank Apr 2018 - Mar 2022Greater St. Louis Area
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ArbitratorFinra (Financial Industry Regulatory Authority) Oct 2017 - PresentGreater St. Louis Area -
Insurance AgentUnited Mutual Insurance Co May 2017 - PresentWashington, Mo -
Compliance AnalystReliance Financial Group/ Rfg Advisory Group, Llc. Jan 2017 - Apr 2018Creve Coeur, Mo-Development and enhancement of the Firm's Registered Investment Advisor Compliance and Supervision program-Supervision of investment, advisory and retirement plan activity -
Vice President And Regional SupervisorWells Fargo Advisors May 2014 - Jan 2017Greater St. Louis Area-Supervision of 38 independently owned brokerage practices including remote sales supervision and support for Firm policy changes, DOL, books and records reviews, pre and post audit, with on-going monitoring to ensure compliance with internal policies, applicable laws and regulations.-Work closely with business owners and staff and actively supervise specific sales activities including complex products, annuities, insurance, trading activity, investment plans, correspondence, e-mail review and compliance with Reg. S-P.-Conduct on-site supervision, manager training and act as a liaison between internal and external business partners. -
Officer And Retail Compliance Advisor - Retail Compliance Advice GroupWells Fargo Advisors May 2013 - Apr 2014Greater St. Louis Area-Representative in multiple projects including contributing to and assisting in implementation of the project-Conducted insider trading investigations including portfolio and trading analysis, internal investigations and employee interviews.-Consulted on business initiatives with regulatory considerations, risk mitigation, development of supervisory processes, controls and creating tutorials and training to assist managers.-Responded to compliance and regulatory questions initiated by business partners and new or modified regulatory requirements and addressed compliance and risk concerns by developing solutions.
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Compliance Consultant - Surveillance And OversightWells Fargo Advisors Jan 2008 - Apr 2013Greater St. Louis AreaCompliance Consultant - Surveillance and Oversight-Conduct review processes that focus on high risk or defined topics and perform reviews of transactions and trending of compliance data, detect unusual activity and address supervisory requirements.-Assist in the identification of issues, root causes, conduct investigation and provide feedback and guidance specific to remedial action and disciplinary action as needed-Provide metrics regarding activity and help managers measure how well they are performing and to evaluate business and management performance
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Compliance AuditorWells Fargo Advisors Jan 2007 - Jan 2008Greater St. Louis Area-Work with the SEC, FINRA and state regulators- Respond to Regulatory Inquiries-Assisted with whistle blower investigations.
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Account Analyst IiWells Fargo Advisors Nov 2003 - Dec 2006Greater St. Louis Area- Manage payable/receivalbe accounts and provide field support.-Process Annuity, Life Insurance, and Alternative Investment Transactions-Improve current processes to increase productivity and creat efficiences.
Ryan Short Skills
Ryan Short Education Details
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Webster UniversityAccounting And Finance -
Webster UniversityAccounting
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Accounting -
General Studies -
Hickey CollegeAccounting
Frequently Asked Questions about Ryan Short
What company does Ryan Short work for?
Ryan Short works for Rabobank
What is Ryan Short's role at the current company?
Ryan Short's current role is ED - Compliance Risk and Innovation Officer.
What is Ryan Short's email address?
Ryan Short's email address is ry****@****ors.com
What is Ryan Short's direct phone number?
Ryan Short's direct phone number is +131487*****
What schools did Ryan Short attend?
Ryan Short attended Webster University, Webster University, Southern Illinois University, Edwardsville, Lewis And Clark Community College, Hickey College.
What are some of Ryan Short's interests?
Ryan Short has interest in Kayaking, Rock Climbing, Outdoor Activities, Hiking, Camping, Running.
What skills is Ryan Short known for?
Ryan Short has skills like Series 9 Held Through Lpl Financial, Series 10 Held Through Lpl Financial, Series 7 Held Through Lpl Financial, Series 66 Held Through Rfg Advisory Group, Compliance, Internal Investigations, Field Supervision, Compliance Consulting, Aams, Fingerprinting, Notary Public.
Who are Ryan Short's colleagues?
Ryan Short's colleagues are Bas Voskamp, Jannie Huisjes, Sam Vonk, Gert-Jan Schouw, Thomas Plaatsman, P. Dam, Gréta Oleár.
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