Sander Ressler
Sander J. Ressler has broad and deep expertise in financial services compliance and operations – including more than 30 years of hands-on, frontline experience with broker-dealers and registered investment advisers. A career spanning compliance and supervisory roles – at broker-dealers owned by American Express, American General, AIG, ING and Société Générale S.A. – make Sander well-suited to support his broker-dealer, RIA and insurance clients. Through his firms, Essential Edge Compliance Outsourcing Services, LLC, he oversees a national network of deeply experienced professionals who provide a wide range of outsourced compliance services – including branch exams, 206(4)-7 and 3120 reviews and reporting, independent AML exams, email and advertising review, Reg BI audits, and more. Under Essential Edge’s regulatory support business line, Sander evaluates arbitrations and has been engaged on numerous AWC undertakings. Essential Edge is an industry award finalist in 2021 for best initiative by a compliance or law firm. The awards, known as the “Wealthies”, are wealthmanagement.com’s program honoring individuals and organizations that help financial advisors create better outcomes for their clients. Sander has established himself as a thought leader on compliance and supervisory issues. He has been quoted in or authored numerous articles in the following publications: InvestmentNews, ThinkAdvisor, Financial Advisor and wealthmanagement.com. In addition, he is an Expert Columnist on Compliance and Regulatory Affairs for Wealth Solutions Report. Recent 2022 industry speaking engagements include “What Makes Compliance Newsworthy-Good, Bad and Ugly,” at ComplyConnect, the rebranded three-decade old NRS Conference. Sander discussed cybersecurity at the Smarsh conference. Sander began his career as a state regulator in Miami, where he has returned to guest lecture at the University of Miami Investment Rights Clinic. He has held 10 securities registrations and obtained his Bachelor’s in Investment Finance from Florida State University. To read his articles or learn more, visit www.eeoutsourcing.com.