Ashley McClintock
Director, Policy & Risk Programs - Wealth & Advice Solutions | MBA | CRCP
- Role
- Director, Policy Program - Wealth & Advice Solutions at Charles Schwab
- Location
- Pottstown, PA, US
- LinkedIn followers
- 500 followers
About Ashley McClintock
17 years of experience working in compliance, risk management, supervision and oversight, and client services roles at high-profile firms in the financial services industry- Experience with applying a creative lens to regulatory requirements when supporting new innovative and digital efforts- Well versed in setting a vision and leading an organization of compliance professionals in a fast-paced environment- Focused on creating value through efficiency gain and waste elimination in control operational organizations- Experience with reviewing marketing and internal training materials as a subject matter expert to ensure compliance with FINRA, SEC, and MSRB rules- FINRA Certified Regulatory Compliance Professional (CRCP) designation- FINRA Series 6, 63, 66, 7, 24, and 4 licensed
Experience
Director, Policy Program - Wealth & Advice Solutions
Mar 2023 — Present
Education
Penn State Great Valley
Master of Business Administration (MBA), Business Administration and Management, General
2010 — 2014
Ursinus College
Bachelor's degree, International Relations and Affairs
2002 — 2006
Ursinus College
Bachelor's degree, Spanish
Skills
- Series 6
- Series 24
- Financial Services
- Compliance
- Management
- Leadership
- Investments
- Series 7
- Process Improvement
- Series 63
- Project Management
- Customer Service
- Mutual Funds
- Securities Regulation
- Finra
- Powerpoint
- Sec
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