Travis Triggs
Director of Compliance at Summit Global Investments
Based in Salt Lake City, United States
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Seniority
Director
Department
Finance & Accounting
Location
Salt Lake City
Industry
Financial Services
Company size
94
Contact information
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t•••••••@sgiam.com
Phone
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Background
About Travis Triggs
Experienced Compliance Officer with a proven track record in managing regulatory compliance for a $2.5 billion AUM RIA firm. Skilled in SEC, FINRA, and state regulations, with strong knowledge of the Investment Advisers Act of 1940. Skilled in developing and maintaining compliance policies, overseeing regulatory filings(Form ADV, Form 13H), and conducting compliance training. Adept at managing SEC examinations, performing risk analysis, and drafting Suspicious Activity Reports(SARs) in adherence to anti-money laundering (AML) requirements. Proven ability to communicate complex legal and compliance issues to senior leadership, ensuring timely and informed decision-making.
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