Keith Glaspie

Background

About Keith Glaspie

Hello! I'm a Regulatory & Compliance Specialist. Over the last five plus years I have honed my industry knowledge with 5+ years of securities industry experience, with FINRA Series 7, 9,10, 24, & 63 licenses as well as a CFE (Certified Fraud Examiner). I have broad knowledge of industry rules and regulations, investment, and insurance products. Widespread experience in risk management, and data analytics. I have effective communication, and presentation skills. Highly intentional, engaging, and a proactive leader with the ability to think strategically to achieve departmental goals and noteworthy business outcomes. My approach is characterized by proactive communication, problem-solving, and adaptability in fast-paced environments. Collaborating closely with departmental managers, I have managed multiple compliance issues with urgency and precision while ensuring top-notch feedback while satisfying all regulatory requirements. As a Regulatory & Compliance specialist, I bring a wealth of expertise and look forward to partnering and collaborating with dynamic people throughout the compliance industry. My roles and experience have involved ensuring the integrity and adherence to regulatory standards and firm policies by meticulously examining branch business operations, electronic records, and client accounts. With an acute eye for detail and a deep understanding of compliance frameworks, I strive to foster a culture of accountability and excellence with the roles I have taken. In addition to my primary responsibilities, I am actively involved in seeking knowledge in a variety of areas, from elder abuse, mitigating fraud & waste, cybersecurity, AML, technology development initiatives, strategic business planning and event organization. My ability to navigate complex regulatory environments, coupled with my leadership skills, allows me to drive projects to successful completion while aligning with the firm's goals and objectives. I am passionate about leveraging technology to enhance compliance processes and I am continually seeking advanced solutions to improve efficiency and effectiveness. My career is driven by constantly seeking to make things better and promoting the growth of the people I work with, the firm, and the clients my firm represents to support their success and investment goals. Let's connect and explore how I can bring value to your firm!