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Tom Deck is listed as Chief Compliance Officer at Bricktown Capital, based in Buffalo-Niagara Falls Area, United States, United States. AeroLeads shows a work email signal at comcast.net and a matched LinkedIn profile for Tom Deck.
Tom Deck previously worked as SVP Chief Compliance Officer at Newedge Capital Group and Sr Compliance Manager, Vice President at M&T Bank Wealth And Institutional Services. Tom Deck holds Mba, Finance from Fox School Of Business At Temple University.
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Accomplished and forward-thinking Financial Services Leader with 20+ years of experience offering an exceptionally rich and versatile skill set in business line product development, regulatory compliance, business development, and process improvement. Leverages advanced expertise to build and maintain financial and operational processes achieving high profit margins, superior compliance, and low risk within Bank and Insurance Channels and multiple lines of defense. Demonstrated ability to critically evaluate and respond to rapidly evolving financial environments and change management environments. Possesses subject matter expertise in RIA, Broker-Dealer, and Mutual Fund compliance, distribution, and servicing. Series 7,24,53,63,66.Specialties: Regulatory Compliance – RIA-Broker/Dealer – Mutual Funds Servicing – Distribution – Project Management – Budget-Process Improvement – Strategic Planning – Financial Planning - Internal Controls Reporting – Business Development – Financial & Market Analysis – Risk Management – P&L – Client Relations- 1st and 2nd Line Risk governance.
Listed skills include Change Management, Financial Services, Risk Management, Finance, and 23 others.
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Newly Formed RIA subsidiary of Blue Cross Blue Shield of Michigan
CCO of Bank Broker Dealer and RIA. Compliance program oversees 1300+ registered reps in 700+ registered branches offering general brokerage, municipal underwriting, mutual funds, VAs, Insurance, Wrap Product and secondary fixed income.
B/D Licensing and Registration, RIA compliance, E-communications
Branch Offices Supervision for PA
Deliver consulting expertise encompassing financial services, compliance, operations, and distribution to clients spanning Brokers/Dealers, and Investment Advisors. Identify client requirements and develop customized and targeted guidance and recommendations to satisfy all customer needs.
New York, NY, US
Served as President of main broker-dealer and 5 broker-dealer subsidiaries to guide change management. Oversaw financial business line P&L. Drove regulatory compliance and enhanced legacy operations, collaborating with Global Compliance, Legal, and Risk business segments to complete multiple projects. Ensured streamlined and efficient function of all.
Served as President of main broker-dealer and 5 broker-dealer subsidiaries to guide change management. Oversaw financial business line P&L. Drove regulatory compliance and enhanced legacy operations, collaborating with Global Compliance, Legal, and Risk business segments to complete multiple projects. Ensured streamlined and efficient function of all.
Managed product development and assumed full business line responsibility for mutual fund broker-dealer. Created new Broker Dealer through FINRA new member application process. Developed strategic plans for new broker-dealer and mutual fund activities spanning the launch of 15 private labeled no-load mutual funds for 30+ registered representatives. Pursued.
Ensured regulatory compliance for Fund broker-dealer. Created and executed compliance policies, procedures, and best practices. Maintained accurate CRD records. Conducted advertising review, and licensing and registration of all personnel. Organized regulatory filing and correspondence. Delivered continuing education.
Conducted Broker/Dealer on site cycle audits and assisted in development of new examiners. Provided ongoing support to designated member firms for routine membership issues and filings.
Provided plan assistance to designated clients, supported sales effort in client onboarding, conducted plan discrimination testing and loan maintenance.
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Tom Deck works for Bricktown Capital.
Tom Deck is listed as Chief Compliance Officer at Bricktown Capital.
AeroLeads has found 1 work email signal at @comcast.net for Tom Deck at Bricktown Capital.
Tom Deck is based in Buffalo-Niagara Falls Area, United States, United States while working with Bricktown Capital.
Tom Deck has worked for Bricktown Capital, Newedge Capital Group, M&T Bank Wealth And Institutional Services, M&T Securities, and M&T Securities, Inc.
You can use AeroLeads to view verified contact signals for Tom Deck at Bricktown Capital, including work email, phone, and LinkedIn data when available.
Tom Deck holds Mba, Finance from Fox School Of Business At Temple University.
Tom Deck is listed with skills including Change Management, Financial Services, Risk Management, Finance, Six Sigma, Management, Financial Risk, and Securities Regulation.
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