Sandra Worsham
Deputy Chief Compliance Officer @J.W. Cole Financial, Inc
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WORK HISTORY
Deputy Chief Compliance Officer @J.W. Cole Financial, Inc
Tampa, FL, US
EDUCATION
FINRA
Banking, Corporate, Finance, and Securities Law
ACAMS
CAMS certification, Anti-money laundering
Pasco-Hernando State College
Business Administration and Management, General
ABOUT SANDRA WORSHAM
FINRA Series 4, 7, 24, 53 and 66; Certified Anti-Money Laundering Specialist (CAMS)Regulatory compliance professional with extensive experience supporting Chief Compliance Officers in all areas of broker-dealer and RIA compliance including written supervisory procedures, audits and regulatory risk, remediation resolution, dispute resolution, and general compliance management. Adept at analyzing current procedures and/or audit deficiencies, identifying vulnerabilities, and partnering with cross-functional leadership to implement process improvements or corrective procedures that minimize risk and achieve organizational goals. KEY SKILLSBD and RIA Regulatory and Internal Audit Response and Investigations | Policies and Procedures | Executive Support | Leading Fast Paced, High Demand and High Performing Teams | Analytical | Problem Solving | Dispute Resolution | Trade Surveillance | Cross Function Remediations | Compliance Project Execution | Investigations | AML | General Compliance Control Functions
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