Christopher Steven Reed
Summary
Results-driven Compliance Auditor with over 17 years of experience in financial services compliance, regulatory auditing, internal controls, and risk assessment. Proven expertise in FINRA regulations, branch supervision, audit execution, and remediation efforts across more than 650 FINRA-registered branch offices. Skilled in identifying compliance risks, evaluating internal controls, and supporting successful regulatory examinations. Strong record of analytical problem-solving, regulatory interpretation, and maintaining high standards of compliance.
Overview
1
1
Certification
18
18
years of professional experience
Work History
Compliance Auditor
Sigma Financial Corporation
Ann Arbor
09.2008 - 07.2026
- Supervised over 650 branch offices throughout the United States.
- Conducted approximately 125 comprehensive compliance audits annually.
- Reviewed thousands of customer accounts, transactions, and statements to identify potential risks.
- Facilitated multiple successful FINRA examinations without material findings.
- Investigated and evaluated firm compliance with federal securities regulations, firm policies, and supervisory procedures.
- Provided risk assessments and recommended corrective actions to strengthen compliance programs.
- Designed audit scopes and performed detailed testing of internal procedures
- Documented audit findings and prepared detailed compliance reports for senior leadership.
Education
Associate of Arts - Banking and Finance
Northwood University
Midland, MI05-2005
Skills
- FINRA and SEC compliance
- Compliance auditing
- Risk assessment and mitigation
- Regulatory research and interpretation
- Branch office examinations
- Audit documentation and reporting
- Corrective action management
- Verbal and written communication
- Cross-functional collaboration
- Salesforce proficiency
- Red Oak compliance program
- Redtail CRM
- Quest CE audit platform
Certification
- FINRA Series 7 License
- FINRA Series 24 General Securities Principal License
Timeline
Compliance Auditor
Sigma Financial Corporation
09.2008 - 07.2026
Associate of Arts - Banking and Finance
Northwood University