Carol Chaney

About Carol Chaney

Experienced compliance professional with extensive expertise in the securities / banking industry. Collaborated with senior management’s Compliance Risk Management (CRM) team to develop procedures, training, assessments and delivery of regulatory and internal controls to achieve advisor alignment under Regional Supervision Principals’ Home Office Supervision team. Evaluated updated targeted tracking tool criteria for reporting advisor communications (both proactive and reactive) to review or resolve complex problems. Subject Matter Expert (SME) for supervision strategies with development and integration of high standards of advisor conduct and operational integrity. Served as a liaison to Financial Advisors and their Business Units through internal Financial Investigation Unit (FIU), Anti-Money Laundering (AML), state, or FINRA investigations as needed.Skills: Comprehensive knowledge of compliance rules and regulations of the Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Office of the Comptroller of the Currency (OCC) and other safety and accountability frameworks.| Reviewed and advised on Consequence Management Assessments and sanctions policies and processes.| Advisor Onboarding, Training & Transitions | Operations, Social Media and Marketing, and Trading Oversight | Supervision Strategy and cross-team Leadership | Audit creation, evaluation, findings delivery and remediation support | Clear Communications & Stakeholder Engagement | Principals of banking and finance and securities industry operations.

Experience

1. Team Lead, Regional Manager - Branch Supervision

   Transamerica Financial Advisors, Inc.

   Dec 2025 — Present · Austin, TX, US

Education

• University of California, Santa Barbara

  Bachelor of Arts

Skills

• Retirement Planning
• Finra
• Financial Services
• Investments
• Mutual Funds
• Securities
• Series 63
• Finance
• Series 7
• Series 24