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DANIEL B

Compliance Manager

Occupation:

Compliance Manager

Education Level:

Bachelor

Will Relocate:

YES

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SUMMARY Experienced Financial Services Executive with extensive expertise in the Financial Services industry. Knowledgeable with insurance products, bank channel investment sales and compliance as well as comprehensive financial planning in the independent financial advisor channel. Possess skills which are most suited to compliance oriented positions within the industry, consisting of strong attention to detail in conjunction with a clear understanding of FINRA/SEC and state securities regulations. Extremely well versed in financial solutions such as separately managed accounts, equities, mutual funds, fixed income instruments, annuities, life insurance and securities compliance regulations. Experienced in several financial planning software programs. QUALIFICATIONS FINRA Series 6, 7, 63, 65 and 24 Licenses. Life & Health and Property & Casualty Insurance

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