We found the following information about Kim Halkett at Srs Acquiom, where this person has worked as a Regulatory Compliance Manager since 2017. Kim's total work experience is over 14 years, during which time this professional had at least seven jobs at different companies to develop skills. Kim studied at the Denver Paralegal Institute from 2001 to 2002. This person received the following certifications: Finra Series 7, 24 and 66 and Cams-Certified Anti-Money Laundering Specialist. Kim Halkett is skilled in English. Currently, Kim Halkett is located in Denver, Colorado. You can contact with Kim by looking for phone number or email or get full information by requesting access to this professional's additional details from us.
Name variants:
Kimberley Halkett,
Kimberly Halkett
Last updated May 24, 2024
Contact Information
Last Update
Jul 12, 2022
Email
kh**@geneoswealth.com, kh**@brown-tedstrom.com
Location
Denver, CO
Company
Workplace
Colleagues
Work History
Regulatory Compliance Manager
950 17Th St, Denver, CO 80202
Responsible for managing the day to day compliance program of limited purpose institutional broker/dealer and insurance broker. SME Compliance FINRA and SEC regulations. Supervision of regis...
Jan 2017 — Mar 2019
Senior Manager, Buiness and Product Compliance
7103 south Revere Pkwy, Centennial, CO
Compliance support for E TRADE’s RIA custodial business
Acting as subject matter expert to business partners on FINRA, SEC and Investment Advisors Act regulations
Collaborate with Legal a...
from Mar 2019
Director of Operations and Compliance
1700 Broadway SUITE 500, Denver, CO 80209
When Mark Brown and Peter Tedstrom formed Brown & Tedstrom, Inc., it was with the belief that there was a better way to provide family wealth management than just managing their investment ...
Feb 2016 — Dec 2016
Vice President Investment and Trust Compliance Officer
Denver, CO
Served as firm’s Chief Compliance Officer for Wealth Management business. Updated policies and procedures. Provided coaching and feedback to team members. Acted as Subject Matter Expert on a...
Aug 2014 — Feb 2016
Regulatory Compliance
Handle of the Registration functions for the Registered Investment Advisor and Broker/Dealer
Respond to FINRA and State inquiries
Supervision the Personal Trading Activities of all Firms’...
Apr 2014 — Aug 2014
Vice President, Regional Compliance Officer
270 Park Ave, New York, NY 10010
Provide compliance and FINRA rule interpretive advice and guidance on securities and investment advisory activities. Address day-to-day compliance issues from management, Financial Centers a...
Jan 2013 — Apr 2014
Assistant Compliance Officer and Aml Officer
9055 east Mineral Cir SUITE 200, Centennial, CO
Supervise day to day compliance activities for retail sales broker/dealer and registered investment adviser including;
Liaison with Outside counsel and manage litigation/arbitration proces...
Aug 2003 — Dec 2012
Education
2001 — 2002
1985 — 1987
1986 — 1987
from 1985
Occupations
Executive
Senior Manager
Compliance Manager
Sales Specialist
Agent
Sales Agent
Security
Accountant
Finance and Accounting Specialist
Subject Matter Expert
Operations Manager
Sales Representative
Accounting Bookkeeper
Bookkeeper
Skilled Professional
Skills
Securities
Aml
Usa Patriot Act
Investments
Wealth Management
Financial Services
Financial Risk
Regulatory Compliance
Kyc
Series 24
Series 7
Finra
Series 66
Compliance
Bsa
Fincen
Securities Regulation
Policies and Procedures Development
Regulators