Since 2018, Glenn Schwalje has been working in World Equity Group located 4, 4. Glenn Schwalje is a proficient Senior Compliance Officer with over 23 years of work experience. According to Glenn's CV and work profile, Glenn Schwalje has worked at more than 14 places with diverse backgrounds and got various skills. Glenn Schwalje studied at the Willamette University from 1989 to 1991. Glenn can be found in Chicago, Illinois – where this professional currently lives. You can find this person's actual email address and phone number with our search.
Name variants:
Glen Schwalje,
Glynn Schwalje
Last updated May 09, 2024
Contact Information
Workplace
Colleagues
Work History
Senior Compliance Officer
1650 north Arlington Heights Rd SUITE 100, Arlington Heights, IL 60004
Assist the Chief Compliance Officer in helping to ensure that the firm and its RRs/IARs comply with SEC, FINRA, and state rules and regulations and firm-wide compliance policies and procedur...
from Aug 2018
Compliance Supervisor
Responsible for all aspects of compliance at fully-disclosed introducing broker/dealer and federally-registered investment advisor. Updated both firms’ WSP, AML Compliance Programs, and BCP ...
Apr 2013 — Sep 2016
Senior Managing Member
Chief Compliance Officer for fully-disclosed introducing broker/dealer. Responsible for all aspects of
compliance-related supervision including serving as Anti-Money Laundering Compliance ...
Jul 2011 — Apr 2013
Broker and Dealer Specialist
Provided consulting and advice to broker/dealer and RIA clients on a wide variety of securities compliance issues. Interpreted FINRA, SEC, MSRB and other rules and regulations including 1933...
Jul 2007 — Sep 2011
District Risk Officer
1585 Broadway, New York, NY 10003
Responsible for a wide variety of supervisory and risk functions related to the District, Complex, and, where applicable, Associate Offices. Direct accountability for the success of the Comp...
Nov 2006 — Jul 2007
Compliance Examiner
Conducted compliance audits for the securities industry’s leading vendor for outsourced annual branch office compliance examinations. Responsibilities included planning audit schedules and t...
Apr 2006 — Nov 2006
Compliance Officer
Served as "right hand man" to the CCO. In addition to routine, daily surveillance, responsibilities included responding to state and SRO requests for information, new hire/termination proce...
Jun 2005 — Apr 2006
Avp, Compliance Officer
Responsible for compliance oversight of Retail Sales Department and Registered Investment Adviser firm. Conducted daily compliance reviews for adherence to firm and industry regulations. Man...
Jul 2002 — Jun 2005
Compliance Examiner
Responsible for compliance oversight of over 250 representatives and support staff at 21 branch offices. Performed proactive account surveillance in addition to conducting both unannounced ...
Mar 2001 — May 2002
Executive Vice President - Compliance
Supervised 60 Registered Representatives. Implemented all journals and logs required to bring the Firm current with NASD requirements. Conducted Firm Element Continuing Education Needs Analy...
Jun 1999 — Mar 2001
Principal
Preparatory work in advance of merger with and eventual buyout of Oak Brook Securities Corp. Initial duties included the creation and compliance review of marketing material designed to rec...
Nov 1998 — Mar 2001
Branch Manager
Supervised daily activities of a small SOES Day Trading brokerage firm. Conducted needs analysis and wrote firm element continuing education plan, maintained the Policies and Procedures Manu...
May 1997 — Dec 1997
Registered Principal
12325 Prt Grace Blvd, La Vista, NE
Number 2 man in an Office of Supervisory Jurisdiction (OSJ). Direct responsibility for investment evaluation, selection, and recommendation. Ongoing monitoring of clients' positions and eval...
Jan 1994 — May 1997
Broker's Assistant
Conceived and established demographic research and analysis for prospective client identification program. Employed direct mail and telemarketing methods to develop said program. Responsibil...
Jun 1993 — Dec 1993
Education
1989 — 1991
1985 — 1989
Occupations
Compliance Officer
Accountant
Bank Examiner
Executive
Director of Quality Control
Finance and Accounting Specialist
Supervisor
Sales Specialist
Agent
Sales Agent
Advisor
Guide
Investor
Lawyer
Fiduciary
Financial Compliance Examiner
Auditor
Compliance Manager
Accounting Bookkeeper
Bookkeeper
Managers
Sales Representative
Tour Guide
Trust Law Attorney
Lawyer
Skills
Series 24
Series 65
Series 7
Regulatory Compliance
Securities
Cams
Series 4
Series 27
Series 53
Previously Held Series 3 and 30
Compliance Oversight
U.s. Office of Foreign Assets Control
Surveillance
FAQs about Glenn Schwalje
What's the main profession of Glenn Schwalje?
Glenn is a Senior Compliance Officer.
What jobs is Glenn Schwalje proficient at at?
Glenn is proficient at Compliance Officer jobs.
Where is Glenn Schwalje currently located?
Glenn Schwalje is located in Chicago, Illinois.
How many companies did Glenn Schwalje work at?
The professional worked at 14 jobs.
What education does Glenn Schwalje have?
Glenn studied at the Willamette University from 1989 to 1991.
Are there any professional industries Glenn Schwalje works in?
This professional works in Financial Services industry.
Are there any special skills, that Glenn Schwalje has?
This person has skills in the following areas: Series 24, Series 65, Series 7, Regulatory Compliance, Securities, Cams, Series 4, Series 27, Series 53, Previously Held Series 3 and 30, and Compliance Oversight.