Jarret Roden
Compliance Surveillance Analyst
- Role
- Surveillance Analyst at LPL Financial
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Jarret Roden
Conscionable communication administrator with over eleven years of experience in the…
Experience
Surveillance Analyst
Apr 2017 — Present · Fort Mill, SC, US
Perform comprehensive risk reviews and sales practice investigations of a complex and highly sensitive natureSynthesize and assess the risk profiles of advisors and OSJ\'sInvestigate specific instances of questionable sales activity or deficient supervisionRecommend an appropriate level of oversight or corrective action to management and the firm\'s respective risk management committees
Education
University of Dayton
Bachelor of Science (B.S.)
1998 — 2002
Avon Lake High School
High School Diploma
1994 — 1998
Skills
- Investments
- Asset Allocation
- Mutual Funds
- Risk Management
- Microsoft Office
- Financial Analysis
- Financial Planning
- Customer Service
- Financial Services
- Retirement Planning
- Microsoft Excel
- Finance
- Bloomberg
- Equity Trading
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