Amric Sobczak

Background

About Amric Sobczak

I am a finance and compliance professional with nearly a decade of experience driving regulatory oversight, operational integrity, and risk management for leading broker-dealers and investment advisory firms. My career spans leadership roles in compliance, supervision, and business operations, where I have consistently delivered firm-wide improvements in controls, processes, and regulatory outcomes.Currently, I serve as Chief Compliance Officer for Xnergy Financial, a FINRA-registered broker-dealer specializing in M&A advisory and private placements. I oversee the firm’s supervisory framework, manage examinations and filings, and serve as primary liaison with FINRA, the SEC, and state regulators. My work includes developing and refining Written Supervisory Procedures, ensuring compliance with private placement rules, and supervising registration, licensing, and continuing education.Previously, I have held supervisory and compliance roles with Raymond James, LPL Financial, B. Riley Securities, Morgan Stanley, and E*TRADE Financial. In these positions, I approved institutional equity research reports, conducted suitability reviews, managed advisor onboarding, and led compliance projects under tight deadlines. My experience includes supervising teams, implementing policy changes, and creating streamlined documentation processes that improved audit readiness and efficiency.I hold FINRA Series 4, 7, 24, 63, 87, and 99 licenses, supported by both an M.S. in Management & Leadership and a B.S. in Business Management from Western Governors University. I am well-versed in tools such as BlueMatrix, FactSet, DocuSign, Adobe, and Microsoft Office Suite, which I have leveraged to enhance workflow integration and reporting accuracy.My career reflects a consistent ability to navigate complex regulations, foster operational improvements, and support business growth while mitigating risk. I excel at building strong compliance cultures, mentoring teams, and serving as a trusted partner to executives, advisors, and regulators.I am open to opportunities where I can continue to strengthen governance frameworks, ensure regulatory adherence, and contribute to the success of financial services organizations.