Jacqueline Thompson
Supervisory Analyst VP at Wedbush
Based in Mount Kisco, United States
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Seniority
Vp
Department
Finance & Accounting
Location
Mount Kisco
Industry
Financial Services
Company size
1K
Contact information
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j•••••••@wedbush.com
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Background
About Jacqueline Thompson
Legal (the hub of the wheel) interprets regulations that Compliance Officers (the spokes of the wheel) implement. I'm a hands-on financial services compliance professional, dedicated to helping an organization realize its written policy goals. Hold FINRA licenses: Series 24 (General Securities Principal), Series 16 (Supervisory Analyst), 7 & 63. Before joining the research publishing operations of two major broker/dealers, I worked as a journalist, author and self-employed marketing professional. Specialties: Comfortable with the full-range of SA functions — clearing short-shelf-life electronic products as well as longer archival printed research. Experienced in review of special projects such as PowerPoint presentations, sales force teach-in handouts, conference books, email messages, blast voicemails and financial models. Specialize in the SA monitoring of public appearances and conference calls (FINRA 2210), including Investor Education Calls, part of IPO and secondaries’ roadshow campaigns.
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