Brant King
Compliance Officer - Vice President
- Role
- Compliance Officer at Wells Fargo
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Brant King
Financial services professional with over 18 years of industry knowledge in Corporate and Investment Banking supporting multiple lines of business across several asset classes. Dedicated focus on maintaining risk standards and compliance in accordance with SEC, FINRA, CFTC, NFA and MSRB requirements. Known for process improvements, risk management. monitoring and oversight of control environments and exercising credible challenge while collaborating with colleagues and executive stakeholders to make appropriate decisions to meet business objectives.
Experience
Compliance Officer
Apr 2017 — Present
Education
Towson University
Interdisciplinary Studies
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