Resumes
Resumes
Department Leader, Products Compliance
View pageLocation:
St, Louis, MO
Industry:
Financial Services
Work:
Edward Jones
Department Leader, Products Compliance
Wells Fargo
Vice President, Compliance Manager Wells Fargo
Kennedy Capital Management Oct 2017 - Nov 2018
Chief Compliance Officer
Scottrade Jun 2015 - Oct 2017
Vice President of Brokerage and Advisory Compliance
Scottrade Jun 2013 - Jun 2015
Investment Advisory Compliance Manager
Department Leader, Products Compliance
Wells Fargo
Vice President, Compliance Manager Wells Fargo
Kennedy Capital Management Oct 2017 - Nov 2018
Chief Compliance Officer
Scottrade Jun 2015 - Oct 2017
Vice President of Brokerage and Advisory Compliance
Scottrade Jun 2013 - Jun 2015
Investment Advisory Compliance Manager
Education:
Webster University 2002 - 2004
Master of Business Administration, Masters, Finance University of Missouri - Saint Louis 1997 - 2001
Bachelors, Bachelor of Science, Accounting, Finance
Master of Business Administration, Masters, Finance University of Missouri - Saint Louis 1997 - 2001
Bachelors, Bachelor of Science, Accounting, Finance
Skills:
Finra
Regulatory Compliance
Compliance Management
Regulatory Affairs
U.s. Securities and Exchange Commission
Investment Advisory
Finance
Legal Compliance
Brokerage
Investments
Financial Services
Financial Analysis
Regulatory Compliance
Compliance Management
Regulatory Affairs
U.s. Securities and Exchange Commission
Investment Advisory
Finance
Legal Compliance
Brokerage
Investments
Financial Services
Financial Analysis
Languages:
English
Certifications:
Certified Anti Money Laundering Specialist
Series 7
Series 24
Series 66
Series 63
Series 53
Series 7
Series 24
Series 66
Series 63
Series 53
Craig Brannam St. Louis, MO
View pageWork:
Wells Fargo & Company Inc
Apr 2011 to 2000
Risk Management Manager
US Bancorp Investments, Inc. and Insurance
Aug 2004 to Apr 2011
Examination Manager
Commerce Bank
Feb 2004 to Aug 2004
Financial Analyst
Edward Jones
May 2002 to Feb 2004
Financial/Service Specialist II
Commerce Bank
Apr 1998 to May 2002
Senior Teller
Apr 2011 to 2000
Risk Management Manager
US Bancorp Investments, Inc. and Insurance
Aug 2004 to Apr 2011
Examination Manager
Commerce Bank
Feb 2004 to Aug 2004
Financial Analyst
Edward Jones
May 2002 to Feb 2004
Financial/Service Specialist II
Commerce Bank
Apr 1998 to May 2002
Senior Teller
Education:
Webster University
2004
Masters in Business Administration in Finance
University of Missouri St. Louis
St. Louis, MO
2001
Bachelor of Science in Business Administration
2004
Masters in Business Administration in Finance
University of Missouri St. Louis
St. Louis, MO
2001
Bachelor of Science in Business Administration