Since 2019, Rick Myers has been working in Wp Global Partners located 226, 226. This professional is a competent Chief Compliance Officer with over 12 years of work experience. According to Rick's CV and work profile, Rick has worked at more than five places with numerous backgrounds and got various skills. Rick attended school at the Georgetown University Law Center from 2010 to 2011. Rick Myers can be found in Chicago, Illinois – where this professional is currently located. You can search for Rick Myers's email address and phone. We can also provide you with detailed contact information upon request.
Name variants:
Ricky Myers
Contact Information
Last Update
Jul 6, 2022
Email
ri**@yahoo.com, ri**@webtv.net, ri**@latinmail.com
Location
Chicago, IL
Company
Workplace
Colleagues
Work History
Manager, Ria and Advertising Compliance
600 Dresher Rd, Horsham, PA 19044
Responsible for the review and approval of advertising material promoting the products and services of affiliated broker/dealer. Also, responsible for the annual testing of affiliated Regist...
2015 — Apr 2019
Associate Compliance Director, Senior Vice President
227 west Monroe St SUITE 1900, Chicago, IL 60606
Investment Advisory compliance and annual testing. Reviewed new regulatory rules when issued and, if applicable, revised firm's policies and procedures as needed.
Aug 2011 — Jan 2015
Compliance Supervisor
2440 Research Blvd, Rockville, MD 20850
Supervised 5 compliance officers in the Advertising Review Department.
Jun 2008 — Aug 2010
Senior Compliance Analyst
12325 Prt Grace Blvd, La Vista, NE
Jun 2006 — Jun 2008
Education
2010 — 2011
1990 — 1995
1986 — 1989
Occupations
Executive
Director of Quality Control
Manager
Sales Specialist
Agent
Sales Agent
Compliance Manager
Operations Manager
Sales Representative
Skills
Finra
Financial Services
Legal Research
Securities Regulation
Corporate Law
Investment Advisory
Compliance
Portfolio Management
Mediation
Teamwork
Series 24
Risk Management
Mergers and Acquisitions
Investment Advisor Compliance