Ginnie Griffith Patterson
Deputy Chief Compliance Officer @Annexus Group
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WORK HISTORY
Deputy Chief Compliance Officer @Annexus Group
Scottsdale, AZ, US
Under the direction of the Chief Compliance Officer, my responsibilities include: updating applicable written policies and procedures consistent with new regulations or activities, assisting in the development of the Firm\'s continuing education program, reinforcement of compliance objectives and organization of compliance activities, communication monitoring, new hire training, monitoring of sales and advertising materials, compliance testing and analysis, FINRA and insurance licensing, and compliance support for all product lines offered.
EDUCATION
Salt Lake Community College
Associate of Science (A.S.)
University of Utah
Bachelor of Science (B.S.)
ABOUT GINNIE GRIFFITH PATTERSON
Innovative Deputy CCO with over 10 years of financial services experience working collaboratively with top leaders to optimize adherence to policies, procedures, standards and regulations- FINRA SIE, Series 7, 14, 24, and 63- Certified Anti-Money Laundering Specialist (CAMS)- Insurance Producer - Life & Annuities (Arizona)- FINRA CRCP Candidate 2024• Securities offered through Annexus Securities, LLC• Testimonials and endorsements received from my Connections were not solicited and they did not receive any form of compensation
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