A strong and driven compliance leader with a rich and diverse compliance background spanning over 18 years. A former regulator who understands the regulatory landscape, has built world-class compliance programs, and leads compliance teams through unique player/coach leadership style. A compliance leader with a proven track record of adding value to the firm by identifying systematic risks, and implementing time-tested and purpose-built strategies to mitigate and manage risk.AssetMark is a NYSE listed company (symbol: AMK) that helps financial advisors grow great businesses. Learn more about Assetmark at www.assetmark.com
Listed skills include Mutual Funds, Securities, Series 7, Finra, and 10 others.