Alyssa Meyer

About Alyssa Meyer

I’m passionate about helping advisors and firms do what they do better, quicker, and easier while incorporating risk mitigation strategies into business practices. I’m a former chief compliance officer and my career accomplishments have centered around leading and building new teams, risk functions and programs, designing and implementing new compliance technology, and transformative policy and procedure changes. But, I’m MOST proud of the many financial services executives I’ve had the privilege to coach, mentor, and lead throughout my career.

Experience

1. Senior Director, Wealth and Investment Management Risk & Controls

   Northwestern Mutual

   Jan 2021 — Present

   Head of first-line business risk and controls for investment subsidiaries including Northwestern Mutual Wealth Management Company, Northwestern Mutual Investment Services, and Mason Street Advisors.

Education

• University of South Florida

  Bachelor's Degree, Finance and Management

Skills

• Financial Advisory
• Issue Resolution
• Internal Controls
• Suitability
• Alternative Investments
• Supervisory Controls - Finra 3012/3120/3130
• Broker-Dealer Compliance
• Field Supervision
• Broker-Dealer
• Annual Compliance Certification
• Asset Management
• Investments
• Associate Development
• Financial Services
• Fixed Annuities
• Information Security Standards
• Compliance Testing
• Branch Audit Programs
• Regulatory Affairs
• Compliance Technology Design and Management
• Exception Based Reporting
• Equities
• Financial Policies & Procedures
• Series 7
• Series 24
• Fraud Detection
• Finra
• Leadership
• Strategic Planning
• Aml
• Securities Regulation
• Securities
• Data Privacy
• Regulatory Analysis
• Compliance
• Investment Advisory
• Training Programs
• Project Management
• Team Leadership
• Mutual Funds