Walt Breuninger Email & Phone Number

Chief Compliance Officer of Harbor Capital Advisors, Harbor Services Group, and Harbor Trust Company.

As Harbor's Director of Investment Management Compliance, I lead a dedicated team focused on ensuring our investment practices not only meet but exceed industry standards. Our expertise spans across key areas: ensuring Portfolio Compliance, conducting rigorous Forensic Testing to preempt and address compliance issues, upholding a robust Code of Ethics, delivering targeted Training and Education to foster a culture of compliance, managing Regulatory Changes proactively to stay ahead of industry shifts, and mitigating liquidity risk to ensure financial stability. Our holistic approach to compliance safeguards our firm's integrity, supports our clients' trust, and drives sustainable growth.

Malvern, Pa

Malvern, Pennsylvania, United States

Developed and implemented regulatory compliance program for Vanguard Digital Advisor. Investment Adviser compliance SME for Vanguard’s Relationship Management & Sales, Enterprise Advice, and Artificial Intelligence & Machine Learning Model Governance.

*2017 Wells Fargo Advisors Team Member of the Year*Responsible for regional monitoring to ensure compliance with internal policies, industry laws and FINRA/SEC regulations. Responsible for ongoing education of firm and industry regulations for Financial Advisors, Branch Managers, and support staff. Conduct orientation for new and transferring Financial Advisors, perform client account reviews, branch inspections, handle complaints, prepare for internal and external audits, manage employee conflicts, review postal and electronic correspondence, approve marketing materials.

Managed a team of high performing compliance professionals responsible for the compliance oversight of a southern New Jersey Complex in the Private Client Group of Wells Fargo Advisors.

Responsible for reviewing all compliance systems and reporting for assigned branches within the Philadelphia Market. Performed ongoing regulatory, compliance, and operational reviews; reporting to the Admin Manager. Identified areas for improvement and enhanced compliance and supervisory processes within my branches. Ensured that all FINRA/SEC compliance regulations and firm policies and procedures are adhered to and enforced.

Provided sales practice and operational client support to assist the business activities of the financial advisors. Researched reports and resolved account problems. Established and maintained files to meet regulatory requirements, created reports to support both sales and operational efforts.