Chief Compliance Officer
- Company:Comerica Securities, Inc.
- Short Bio:As the CCO for Comerica Securities, Kenneth is responsible for the firm's day-to-day Enterprise Risk Management function with a Three Lines off Defense program. He has held numerous positions in the financial industry including, Chief Supervisory Officer of Waddell & Reed where he was responsible for the initiative of internalizing field supervision and creating a multi-tiered supervision platform for the firm. Prior to working with Waddell & Reed, Kenneth held positions with numerous firms as a Chief Compliance Officer, Regulatory Compliance Officer, and numerous other Operations and Compliance positions. Kenneth has drawn on his experience in these fields and integrated his legal education and sales experience to create Supervisory and Compliance platforms that are responsive to today's turbulent regulatory environment and fair for both the client and the financial advisor. Taking a "stewardship" approach to the industry, Kenneth acts as a FINRA arbitrator and FINRA hearing panelist and is an active member of numerous industry associations. He has sat on the Board of the National Association of Compliance Professionals (NSCP) and has twice served as a member of the FINRA District 4 Committee, sat on FINRA's Regulatory Affairs Committee and Continuing Education Committee. In addition to working as an Instructor at Wharton for FINRA's Certified Regulatory Compliance Professional (CRCP) certification, Kenneth has taught Securities Broker-Dealer Regulation at William Mitchell College of Law as an adjunct legal professor. Some of the certifications and registrations he has held or currently holds are: Minnesota Insurance License, Series 4, 7, 9, 10, 24, 53, 65 and 66 and the Fellowship of Life Management Institute (FLMI). Kenneth graduated from the University of Minnesota with a Bachelor of Science Degree in Economics with a Math emphasis. He obtained his Juris Doctorate from William Mitchell College of Law in St. Paul Minnesota.
- April 30, 2019, 09:45 Chicago – 2019 Spring Conference