Tim McDowell
Chief Compliance Officer, Principal Financial Officer, Principal Operations Officer (Mfd) @Madison Investments
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WORK HISTORY
Chief Compliance Officer, Principal Financial Officer, Principal Operations Officer (Mfd) @Madison Investments
Helena, MT, US
Revamped Broker-Dealer Compliance program, including policies, procedures and manuals.* Executed new FINRA membership agreement for ETF distribution through the Rule 1017 Continuing Membership process.* Delivered consecutive successful FINRA examinations.* Conduct ongoing reviews of Investment Advisory and Broker-Dealer marketing and communications efforts.* Review and file Firm\'s financial statements with regulators.* Serve as Firm\'s Operations Professional and Anti-Money Laundering Officer* Train staff on regulatory matters* Interpret and implement regulatory changes, including the 2022 SEC Marketing Rule* Upgraded firm\'s software solutions for Compliance needs.Disclosure: This is my personal LinkedIn page and is not sponsored or maintained by Madison Investment Advisors or its affiliates.
EDUCATION
Western Illinois University
Bachelor of Business, Finance
Spoon River College
Associate of Arts (A.A.)
Spoon River College
Associate of Science (A.S.)
ABOUT TIM MCDOWELL
Compliance, audit and investment professional with a strong background in regulatory matters, mutual fund, insurance, option and equity investments, training presentations and recruiting.
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