Mark Ludwig
Senior Manager - Branch Controls at Equitable Advisors
- Role
- Senior Manager - Branch Controls at Equitable Advisors
- Location
- Omaha, NE, US
- LinkedIn followers
- 500 followers
Experience
Senior Manager - Branch Controls
Jan 2020 — Present · Omaha, NE, US
I Supervise and enforce Compliance procedures for Equitable Advisors financial professionals throughout the States of Nebraska, Iowa and South Dakota. This involves ensuring that the activities and transactions of approximately 60 financial professionals throughout the states meet regulatory and firm policies by performing annual audits, and file reviews. Several additional surveillance reports to identify trends are evaluated regularly.
Education
University of Nebraska at Omaha
Bachelor's degree
Skills
- Regulatory Compliance
- Investment Strategies
- Investment Compliance
- Variable Annuities
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