Robert Franklin
Chief Compliance Officer
- Role
- Chief Compliance Officer at Equity Services, Inc
- Location
- Montpelier, VT, US
- LinkedIn followers
- 500 followers
About Robert Franklin
A highly experienced, result-oriented professional with 14 years experience in all areas of compliance for providers of financial services. Project Management – Management of projects from initiation to final execution. Ability to work with diverse departments to achieve a consensus that complies with regulatory requirements while maintaining an overall focus on corporate goals and initiatives.Expertise- In depth knowledge of: Securities Act of 1933, The Investment Act of 1940, AML, Regulation S-P.
Experience
Chief Compliance Officer
Sep 2023 — Present · Montpelier, VT, US
Education
Texas Tech University
POLS, Political Science and Government
1993 — 1997
Skills
- Uniform Combined State Law
- Alternative Investments
- Broker-Dealer
- Anti Money Laundering
- Financial Risk
- Asset Management
- Investments
- Financial Services
- Internal Audit
- Due Diligence
- Equities
- Series 7
- Insurance
- Series 24
- Finra
- Wealth Management
- Aml
- Securities
- Compliance
- Investment Advisory
- Project Management
- Mutual Funds
- Risk Management
- Series 63
- Series 65
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