A. Alan Valenzuela
Senior Supervisory Officer @Principal Financial Group
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WORK HISTORY
Senior Supervisory Officer @Principal Financial Group
EDUCATION
The Wharton School
Certified Regulatory and Compliance Professional
California State University, Los Angeles
BS, Business Admininstration - Finance
SKILLS
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.
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