Luke Ripienski
Chief Compliance Officer | CERTIFIED FINANCIAL PLANNER™ | Compliance | Supervision | Operations | Administration | Finance
- Role
- Chief Compliance Officer at Prosperity Capital Advisors
- Location
- Minneapolis, MN, US
- LinkedIn followers
- 500 followers
About Luke Ripienski
Executive with a track record of boosting financial results and operational efficiency…
Experience
Chief Compliance Officer
Oct 2022 — Present · Minneapolis, MN, US
Ensures regulatory adherence, mitigates risk, and oversees the implementation of compliance programs to safeguard the firm\'s integrity and protect client interests• Sits on the investment committee and vets new options for our investment platform• Conducts initial and ongoing due diligence for any new software used at our RIA• Oversight of IAR offices located in 25 unique states across the country • Supervises 115 IARs and 220 Access persons across the organization• Monitors our IMO (Clarity Insurance Marketing) from a compliance perspective• Holds a seat on the parent organization – Clarity 2 Prosperity (C2P) executive team• Creates and manages compliance business plan and budget annually• Part of the recruitment of new and established IARs annually• Revamped all internal RIA related forms• Improved and updated regulatory forms - ADVs, CRS, COE, Privacy Notice, Manual• Rolled out approved texting applications while compliantly archiving• Vetted and approved intra office chat messaging platforms • Successfully added archiving of social media platform messages for IARs and staff• Recruited and developed multiple candidates into a compliance role• Closely partners with IT to manage cybersecurity threats and internal policies
Education
University of Wisconsin-Eau Claire
Bachelor of Business Administration
Skills
- Series 53
- Registered Investment Advisor
- Forecasting
- Compliance
- Series 9
- Communication
- Series 24
- Long-Term Care
- Compliance Management
- Broker-Dealer Compliance
- Registration
- Field Supervision
- General Securities Principal
- Supervision
- Disability Insurance
- Operations
- Long Term Care Insurance
- Licensing
- Regulatory Compliance
- Financial Services
- Analytical Skills
- Series 10
- Portfolio Management
- Anti Money Laundering
- Cfp
- Series 7
- Motivated
- Securities
- Public Speaking
- Estate Planning
- Leadership
- Time-Efficient
- Teamwork
- Life Insurance
- Culture Change
- Risk Management
- Investment Advisor Compliance
- Due Diligence
- Coaching
- Series 66
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