A. Alan Valenzuela
Supervision Officer
- Role
- Senior Supervisory Officer at Principal Financial Group
- Location
- San Diego, CA, US
- LinkedIn followers
- 500 followers
About A. Alan Valenzuela
A thorough and knowledgeable financial services professional with broker/dealer and investment adviser experience. Proven record of success in managing overall compliance activities including surveillance, supervision, oversight, internal audit and branch exams. Leverages innate metric-analysis skills to drive team success. A proactive and dependable professional who effectively mentors and optimizes his team. Excellent cross-functional collaboration skills list below does not imply licensure, training, or the ability to solicit products or services.
Experience
Senior Supervisory Officer
Apr 2025 — Present
Education
The Wharton School
Certified Regulatory and Compliance Professional
California State University, Los Angeles
BS, Business Admininstration - Finance
Skills
- Legal Support
- Financial Planning
- Compliance Audits
- Mutual Funds
- Risk Management
- Quality Auditing
- Retirement Services
- Brokerage
- Financial Advisory
- Bilingual-Spanish
- Hybrid Ria's
- Offshore Operations
- Call Center
- Advertising Reviews
- Asset Management
- Retirement
- Strategic Financial Planning
- Series 24
- Investment Advisory
- Independent Ria's
- Securities
- Special Projects
- Finra
- Operations Management
- Series 7
- Financial Services
- Profit & Loss Management
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