Tim Mcdowell Email and Phone Number
Tim Mcdowell work email
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Tim Mcdowell personal email
Compliance, audit and investment professional with a strong background in regulatory matters, mutual fund, insurance, option and equity investments, training presentations and recruiting.
Madison Investment Advisors
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Chief Compliance Officer, Principal Financial Officer, Principal Operations Officer (Mfd)Madison Investment Advisors Nov 2018 - PresentMadison, Wisconsin, Us* Revamped Broker-Dealer Compliance program, including policies, procedures and manuals.* Executed new FINRA membership agreement for ETF distribution through the Rule 1017 Continuing Membership process.* Delivered consecutive successful FINRA examinations.* Conduct ongoing reviews of Investment Advisory and Broker-Dealer marketing and communications efforts.* Review and file Firm's financial statements with regulators.* Serve as Firm's Operations Professional and Anti-Money Laundering Officer* Train staff on regulatory matters* Interpret and implement regulatory changes, including the 2022 SEC Marketing Rule* Upgraded firm's software solutions for Compliance needs.Disclosure: This is my personal LinkedIn page and is not sponsored or maintained by Madison Investment Advisors or its affiliates.
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Senior Vice President & Chief Compliance OfficerJackson Aug 2005 - Sep 2018Lansing, Mi, Us* Managed a team of 13 that produced seven consecutive years of successful regulatory examinations.* Oversaw the Surveillance, Advertising and Registration functions for the firm, including non-cash compensation, anti-money laundering, risk management, social media, email and marketing review.* Served on multiple committees and working groups, including Department of Labor and advisory annuity programs.* Communicated with state and federal regulators to resolve inquires, reviews and complaints.* Served as firm's Anti-Money Laundering Officer.* Expanded the firm's use of technology related to social media, electronic communications and personal investment monitoring.* Completed the FINRA Materiality Consultation process to expand the firm’s supervisory capacity. * Provided Compliance support to executive management and fellow department heads.* Presented to the firm's board, management and sales teams. -
Recruiter & Vice President Of OperationsFirst Midwest Securities Feb 2002 - Aug 2005* Led marketing efforts to identify and recruit qualified representatives.* Supervised the activities of branch offices, registered representatives and investment advisory representatives.* Reviewed all options-related transactions for the firm.* Completed the FINRA Rule 1017 process for a material change related to the growth of the company. * Assisted associates with regulatory filings, including Forms U4 and U5 updates.* Performed various compliance and supervisory tasks similar to previous role.
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Compliance OfficerAis Sep 2000 - Jan 2002* Performed on-site examinations of branch offices.* Reviewed equity and option transactions for branches and clients nation-wide.* Worked with Information Technology Department to maintain firm's email review and archival program.* Communicated with firm and opposing counsel to review and resolve customer disputes.
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Registered RepresentativeTd Ameritrade Jun 1999 - Sep 2000Omaha, Ne, Us* Assisted customers with stock and option purchases and sales.* Served on firm's Initial Public Offering team and contacted eligible customers regarding related investments.* Processed account applications for new customers. -
Trust AssistantHavana National Bank May 1996 - Jun 1999* Managed Records Retention on all Trust accounts.* Worked on large estate, foundation, portfolio management, retirement, agencyand farm management accounts.* Assisted both business and individual clients with various financial transactions
Tim Mcdowell Skills
Tim Mcdowell Education Details
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Western Illinois UniversityFinance -
Spoon River CollegeAssociate Of Arts (A.A.)
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Spoon River CollegeAssociate Of Science (A.S.)
Frequently Asked Questions about Tim Mcdowell
What company does Tim Mcdowell work for?
Tim Mcdowell works for Madison Investment Advisors
What is Tim Mcdowell's role at the current company?
Tim Mcdowell's current role is Experienced Chief Compliance Officer with a history of delivering collaborative results in the financial services field..
What is Tim Mcdowell's email address?
Tim Mcdowell's email address is cr****@****adv.com
What schools did Tim Mcdowell attend?
Tim Mcdowell attended Western Illinois University, Spoon River College, Spoon River College.
What skills is Tim Mcdowell known for?
Tim Mcdowell has skills like Series 4, Series 7, Series 24, Series 63, Series 66, Series 99, Insurance, Mutual Funds, Anti Money Laundering, Compliance, Training, Securities.
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