Alyssa G. Meyer
Seminole,FL
Summary
Financial services compliance executive with CCO experience. Skilled program head with broad platform work history creating, leading, and transforming compliance and supervisory programs at broker/dealer, registered investment advisory, trust, bank holding company, and insurance mutual firms. Strong foundation with independent contactor, bank institution, and hybrid model firms.
Overview
18
18
years of professional experience
1
1
Certification
Work History
Senior Director, Wealth Risk & Controls
Northwestern Mutual
01.2021 - Current
- Head of first-line business oversight, governance, controls, and risk management support for investment-related subsidiaries which includes a broker/dealer with approximately 12,000 registrations, an SEC-registered investment advisor, and an OCC-registered trust company providing registered investment advisor/fiduciary services by approximately 3,300 wealth management advisors.
- Established risk appetite to contribute towards product and services offerings strategy. Addressed open conflicts and risks by appropriate escalation or resolution. Advocated for business recommendations aligned with regulatory expectations, client experience, financial representation, scalability for future growth with efficient resource utilization.
- Functional programs under my responsibility include business continuity planning and disruptions, crisis arrangement, vendor risk management, entity governance, risk inventory and assessment, written supervisory procedures, controls design, new products and services, alternative investment supervision, best interest and DOL PTE programs, policy and process exceptions, client-related settlements/issue resolutions, fraud and privacy issue management, and various retail risk-related escalations.
VP, Head of Conflicts of Interest Compliance
Raymond James
12.2018 - 01.2021
- Second line of business executive responsible for the program design, implementation, effectiveness, and evolution for conflict of interest-related policy topics for U.S. and foreign entities of Raymond James for approximately 24,000 registered and non registered associates and contractors spanning 5 countries and over 10 entities including the corporate bank holding company. Program topics under my purview included Outside Business Activities, Outside Brokerage Accounts, Gifts and Entertainment, Political Contributions, Mandatory Absence, and Confidential Employee and Fraud Investigations.
- Responsibilities included garnering business unit leader alignment for a singular, shared policy by topic; peer benchmarking and industry advocacy; ensuring sufficient business unity controls, supervision, and monitoring processes were supported; overseeing the design, implementation, and adoption of enterprise-wide systems for functional topics; ensuring annual and new-hire topic training; issue resolution which included regulatory actions; interfacing with third-party inquiries and regulators for exams and investigations; metrics, reporting, and escalation including to the firm's operating and executive committees.
VP, Head of Enterprise Compliance Registrations
Raymond James
01.2017 - 05.2019
- Oversaw comprehensive compliance operations involving 10+ affiliated entities with responsibility for handling regulatory procedures such as associate onboarding, termination processes, personal credit checks & criminal reviews ensuring regulatory compliance of over 13.5K registered associates.
- Responsible for consolidating 3 separate departments and their independent processes into a singular, shared-service, enterprise unity; automated manual onboarding, background check, and licensing and registrations processes; establishing an employee talent and development strategy; reducing late FINRA reporting; establishing standardized processes for supervisory onboarding approvals; approving/declining red flag candidates seeking affiliation as a producer; establishing and implementing tier one business continuity processes to ensure no disruption to business as usual; implementing control processes and aligning associate user entitlement processes; establish nightly data file reconciliation processes; issue resolution which included regulatory actions; interfacing with third-party inquiries and regulators for exams and investigations; metrics, reporting, and escalation including to the firm's operating and executive committees
VP, Head of Supervisory Controls
Raymond James
12.2014 - 12.2016
- Second line-of-defense executive responsible for all U.S. retail broker/dealer and registered investment advisory policy and procedure compliance testing, test program design and execution, issue tracking and resolutions, and test issue escalations including to the firm's operating and executive committees.
- Responsibilities included establishing a risk-based approach to annual test plan; consolidating 3 affiliates' individual testing processes into a singular, enterprise unity with shared processes to be used across the firm; identifying previously unaddressed sales practice issues, training opportunities for supervisory staff, and control automation opportunities based on trends and findings from individual tests; serving as a subject matter expert on firm policies, procedures, and controls for regulatory investigations, examinations, and often represent the firm on target investigations; served as corporate representative or witness on behalf of the firm for FINRA arbitrations; self-reporting and annual compliance report.
Chief Compliance Officer
Raymond James
04.2014 - 12.2014
- Served as Interim Chief Compliance Officer as an extension of my existing duties for the independent broker/dealer, Raymond James Financial Services, Inc.
- Collaborated with legal counsel on matters related to enforcement actions, litigation, or settlement negotiations, protecting company interests.
- Provided expert guidance on complex compliance issues, enabling informed decision-making at the executive level.
- Managed a high-performing team of compliance professionals, setting clear expectations and providing ongoing support for career growth.
- Ensured timely completion of all regulatory filings, maintaining a strong reputation with governing bodies.
- Led successful audits and examinations, demonstrating the company''s commitment to transparency and accountability.
- Advised senior leadership on strategic initiatives from a compliance perspective, ensuring alignment with organizational values and objectives.
- Conducted performance reviews against key metrics to evaluate the effectiveness of compliance program and identify any areas requiring attention.
VP, Deputy Chief Compliance Officer
Raymond James
01.2010 - 12.2014
- Responsible for the Compliance department people management processes (over 150 associates), regulatory change management for the firm, compliance technology prioritizations and compliance technology programming team, policy and procedure maintenance, compliance testing, surveillance and exception report design, regulation examinations and investigation responses, served as corporate witness in FINRA arbitrations, lead the firm's continuing education program, new representative training programs, and compliance and supervision training programs, annual compliance interview process, field compliance committee, succession planing and onboarding reviews and consultations for high risk prospective joins, metrics and board reporting, advisor terminations, and special investigations including fraud or allegations of misconduct. Als lead the process and drafts of the annual compliance report and annual CEO certification.
- Created an advisor risk dashboard which aggregated where advisors, their clients, where showing on various surveillance and supervision reviews in conjunction with potential financial and behavioral concerns.
- Implemented the firm's first information security policies for independent contractor advisors personally paid devices and related control processes
- Helped design and implement the firm's first sector concentration review, high yield/junk bond review, portfolio performance, gain/loss, outgoing money movement oversight, and address monitoring oversight for indications of fraud.
- Oversaw business-wide changes to modernize procedures and organization.
- Represented organization at industry conferences and events.
- Monitored key business risks and established risk management procedures.
- Managed financial, operational and human resources to optimize business performance.
- Analyzed industry trends and tracked competitor activities to inform decision making.
- Maintained P&L and shouldered corporate fiscal responsibility.
- Cultivated strong relationships with key stakeholders, including customers, vendors, regulators, and community leaders to promote collaboration and long-term success.
- Led cross-functional teams for the successful completion of major projects, resulting in increased efficiency and client satisfaction.
- Demonstrated proficient leadership skills to motivate employees and build competent teams.
- Collaborated with senior management to develop strategic initiatives and long term goals.
- Negotiated high-value contracts that maximized profitability while mitigating risks for the organization.
Supervisory Controls Officer
Raymond James
07.2007 - 12.2009
- Lead the design and program administration for the firm's FINRA Supervisory Controls and SEC Investment Advisor testing; regulatory change management; policy and procedure maintenance; books and records retention for the firm; lead all field change management for compliance initiatives and established change management procedures; exception report design and implementation
- Key accomplishments include leading tho design and implement the firm's first email review system, supervisory trade review system, outside business activity review system, inactive fee-based review, trade cancellation and correction trending monitoring, FINRA's new suitability rule regulation, and the firm's direct mutual fund supervision process to directly supervise 529 and direct mutual fund activity.
- co-lead the implementation of the firm's cyber security and data privacy policies and programs
Regional Compliance Officer
Raymond James
06.2006 - 06.2007
- lead and develop a team of 14 registered associates responsible for conducting annual branch audits, surveillance reviewers, and heightened supervision for the largest geographic and densely populated region which comprised over 700 offices and over 1,000 producers across the broader southern U.S.
- Served as the approving principal for new financial advisors, advisor terminations, succession plans, cross-trades, alternative investment exceptions, trade cancellations for large fixed income orders, client settlements, and outside business activity exception requests.
- Firm representative accompanying branch managers under State or Federal Audits or investigations.
- Lead and deployed rapid response teams for special, on-site investigations with allegations of fraud or misconduct.
Education
Bachelor of Science - Business Administration And Management
University of South Florida
Tampa, FLSkills
- Investment products and new product implementation
- alternative/complex investment supervision and design
- supervision and oversight control programs
- leading policy and procedure changes including large compliance technology implementations
- compliance test program design
- conflicts of interest programs
- regulatory exam responses and program management
- regulatory change review and operationalization
- organizational change management
- fraud investigations and client dispute resolutions including finra arbitrations
- financial advisor recruiting, onboarding, and succession planning
- Board of Directors and Governance reporting
Certification
- FINRA Series 7, 24, and 53 licenses
- Certificate: Securities Industry Institute (SII) at Wharton 03/2016
- Certificate: Post-Crisis Leadership from University of South Florida 12/2020
Affiliations
- Securities Industry and Financial Markets Association (SIFMA)
- National Society of Compliance Professionals (NSCP)
- Regulatory Compliance Forum Group
- Association of Certified Fraud Examiners (ACFE)
Timeline
Senior Director, Wealth Risk & Controls
Northwestern Mutual
01.2021 - Current
VP, Head of Conflicts of Interest Compliance
Raymond James
12.2018 - 01.2021
VP, Head of Enterprise Compliance Registrations
Raymond James
01.2017 - 05.2019
VP, Head of Supervisory Controls
Raymond James
12.2014 - 12.2016
Chief Compliance Officer
Raymond James
04.2014 - 12.2014
VP, Deputy Chief Compliance Officer
Raymond James
01.2010 - 12.2014
Supervisory Controls Officer
Raymond James
07.2007 - 12.2009
Regional Compliance Officer
Raymond James
06.2006 - 06.2007
Bachelor of Science - Business Administration And Management
University of South Florida