Since 2020, Sarah Marshall has been working in Lpl Financial 353, 353. This person is a high-skilled Vice President, Compliance Risk Assessment and Testin with over seven years of work experience. According to Sarah's resume and work profile, this expert has worked at more than eight places with diverse backgrounds and gained different skills. Sarah Marshall studied at the University of South Florida from 2017 to 2020. Sarah Marshall has the following certificates: Series 7, Series 24, and Series 66. Sarah can be found in Charlotte, North Carolina – where the professional is currently located. You can search for their email address and phone number. We can also provide you exhaustive contact information upon request.
Name variants:
Sara Marshall,
Sal Marshall,
Sally Marshall,
Sallie Marshall,
Sadie Marshall,
Sattie Marshall,
Sena Marshall,
Susan Marshall
Last updated Jun 18, 2024
Contact Information
Workplace
Vice President, Compliance Risk Assessment and Testin
San Diego, CA
Industry
Financial Services
Colleagues
Work History
Vice President, Compliance Risk Assessment and Testin
4707 Executive Dr, San Diego, CA 92121
from Apr 2020
Regulatory Operations Specialist
880 Carillon Pkwy, St Petersburg, FL 33716
Represented Operations in communications to regulatory bodies including FINRA, SEC and Federal Reserve Board
Acted as the key contact for the FINRA Financial and Operations cycle exam on b...
Jul 2015 — Sep 2016
Managing Compliance Consultant
880 Carillon Pkwy, St Petersburg, FL 33716
Served as test lead for the Raymond James Private Client Group policy and procedure Testing program
Defined test scope and developed metrics based on identified risks and other analysis
R...
Sep 2014 — Jul 2015
Senior Supervisory Controls Consultant
880 Carillon Pkwy, St Petersburg, FL 33716
Jun 2012 — Sep 2014
Compliance Advisor
880 Carillon Pkwy, St Petersburg, FL 33716
Conducted on-site examinations of over 150 independent contractor offices to identify potential risks and ensure compliance with firm and regulatory agency rules and regulations
Researched...
Nov 2010 — Jun 2012
Client Service Associate
880 Carillon Pkwy, St Petersburg, FL 33716
Opened and maintained customer accounts in accordance with regulatory and firm requirements
Reviewed customer account documentation including new account forms, trust documents and power a...
Aug 2009 — Nov 2010
Education
2017 — 2020
2005 — 2009
Occupations
Executive
Vice President
Accountant
Finance and Accounting Specialist
Director
Chief Executive
Accounting Bookkeeper
Bookkeeper
Operations Manager
Skills
Financial Advisory
Fixed Income
Retirement Planning
Investments
Process Improvement
401K
Visio
Investment Advisory
Asset Allocation
Financial Services
Equities
Mutual Funds
Uniform Combined State Law
Finra
Series 24
Requirements Gathering
Project Management
Retirement
Series 7
Securities