David Lester
Compliance Analyst at Simplicity Group
Based in Carlsbad, United States
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Seniority
Staff
Department
Finance & Accounting
Location
Carlsbad
Industry
Financial Services
Company size
654
Contact information
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d•••••••@simplicitygroup.com
Phone
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Background
About David Lester
Compliance professional experienced in reviewing marketing and advertising material. Also works closely with the CCO on risk reports and assists in U4 and U5 filings. Previously worked as a financial professional experienced in assisting financial advisers in opening accounts for their clients, transferring funds and assets to new accounts money movement requests. Also has experience in the self-directed 401(k) field. Offering guidance to self-employed business owners. University of Missouri graduate, May 2019. Proven leadership, team building, and organizational skills. Experience with Salesforce, Orion, Charles Schwab Advisor Center, TD Ameritrade Veo One, MirrorWeb, Global Relay, Egnyte, and Microsoft Office License: Series 65
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