Chris Warner
Chief Compliance Officer at Tompkins Financial Advisors / Ensemble Financial Services
With work experience over 17 years, this expert is nowadays working at Tompkins Financial Advisors / Ensemble Financial Services, Inc as a Chief Compliance Officer. Chris received his education from 1978 to 1982 at the Saint John Fisher College. This person has certifications in Certified Securities Compliance Professional This professional can be found in Rochester, New York. To contact directly Chris, you can search for their phone or email address or get full information by requesting access to Chris Warner's additional details.
Name variants:
Christian Warner,
Christopher Warner,
Christine Warner,
Crystal Warner
Last updated Jul 07, 2024
Contact Information
Workplace
Colleagues
Work History
Chief Compliance Officer
Management of compliance program for investment advisor, broker dealer and insurance agency. Complete ongoing risk management assessments. Create, implement and train on policies and proced...
from Jan 2006
Compliance Officer
Rochester, New York Area
Surveillance of 65 registered representative and their activities including trades, correspondence and email. Conduct annual compliance meetings. Travel to detached offices for training and...
2003 — 2005
Compliance Associate
The coordination and completion of all government, regulatory and compliance documents and filings for Manning & Napier Advisors, Inc. and its affiliates. Partnered with others in the C...
1998 — 2003
Legal Regulatory Specialist
Responded to legal process, levies, restraining orders, subpoenas, and other third party information requests. Managed the bank’s document production for inquiries; coordinating with the SE...
1988 — 1998
Education
1978 — 1982
1974 — 1978
Occupations
Executive
Director of Quality Control
Accountant
Finance and Accounting Specialist
Advisor
Sales Specialist
Agent
Sales Agent
Board Member
Compliance Officer
Bank Examiner
Representative
Compliance Manager
Accounting Bookkeeper
Bookkeeper
Sales Representative
Management Team Executive
Operations Manager
Financial Compliance Examiner
Auditor
Skills
Compliance Oversight
Compliance Operations
Compliance Training
Compliance Procedures
Regulatory Submissions
Regulatory Requirements
Regulatory Examinations
Quality Management
Process Improvement
Broker-Dealer Compliance
Investment Advisor Compliance
Investment Advisers Act
Investment Company Act
Securities Exchange Act of 1934
Securities Regulation
Risk Assessment
Risk Management
Ethics
Series 24
Series 7
Series 65
Series 63
Series 6
Options Principal
Municipal Principal
Advertising Principal
SEC
FINRA
Iso 9000
Surveillance
Trust Services
AML
USA PATRIOT Act
FinCEN
Bank Secrecy Act
KYC
Soft Dollars
Best Execution
Block Trading
Banking
Due Diligence
Sarbanes-Oxley Act
Financial Planners
Uniform Combined State Law
Governance
FAQs about Chris Warner
What is the main profession of Chris Warner?
The expert is a Chief Compliance Officer at Tompkins Financial Advisors / Ensemble Financial Services.
What jobs is Chris proficient at at?
Chris Warner is proficient at such jobs as Executive and Director of Quality Control.
Where does Chris Warner currently live?
Chris Warner currently lives in Rochester, New York.
How many companies did Chris Warner work at?
Chris Warner worked at four jobs.
Does Chris Warner have personal website or blog?
This expert`s website is http://www.ensemblefs.com.
What education does Chris Warner have?
Chris studied at the Saint John Fisher College from 1978 to 1982.
Are there any professional certifications, that Chris Warner has?
This professional received the following certifications: Certified Securities Compliance Professional.
Are there any awards Chris Warner received?
This professional received awards and these awards are: Certified Securities Compliance Professional.