Brian Wolfe
Senior Compliance Officer at Nbc Securities, Inc
Based in Birmingham, United States
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Seniority
Manager
Department
Legal
Location
Birmingham
Industry
Financial Services
Company size
90
Contact information
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b•••••••@nbcsecurities.com
Phone
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Background
About Brian Wolfe
As a Senior Compliance Officer, I have over 21 years of combined experience in ensuring compliance excellence for two regional brokerage/advisory firms. I have expertise in equities and derivatives, fixed income products, mutual funds, variable annuities, and IA compliance, as well as skills in risk management, audit, and policy development. I have worked with various teams and departments to implement and monitor compliance programs, policies, and procedures, and to provide guidance and training on compliance matters. I have also contributed to the resolution of compliance issues and the enhancement of compliance culture within the organization.
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