Daniel Gilligan
Regional Risk Supervisor - Assistant Vice President
St. Louis,MO
Summary
Chief Compliance Officer with over 20 years of experience in ensuring compliance for financial services firms, including broker-dealers and registered investment advisors. Expertise in compliance leadership, regulatory relations, and employee training to develop effective compliance programs. Recognized for innovative risk mitigation strategies and enhancing operational integrity. Proven ability to lead teams in achieving high productivity and adherence to legal standards.
Certifications & Licenses
· SIE | Series 7, 63, 24, 9, 10, 51, 52, 53, and 66 Registrations
· Registrations and licenses active with no disclosures
Overview
26
26
years of professional experience
1
1
Certification
Work History
Regional Risk Supervisor - Assistant Vice President
Wells Fargo Advisors Financial Network
St. Louis
05.2023 - Current
- Supervise regulated activities for independent financial practices, ensuring compliance.
- Identify regional risks and implement controls, enhancing operational security.
- Act as a primary contact for escalated risk and supervisory issues, resolving efficiently.
- Collaborate on human capital matters, fostering a supportive work environment.
Financial Advisor
FEFA Asset Management, LLC
Valley Park
11.2022 - 05.2023
- Guided clients in financial planning to align with goals, enhancing trust and satisfaction.
- Delivered tailored financial education, fostering informed client decisions and loyalty.
- Analyzed financial data to provide strategic insights, improving client portfolio performance.
Compliance Officer
EFS Advisors
Fenton
12.2021 - 11.2022
- Oversaw OSJ, ensuring agent compliance and conducting audits, enhancing regulatory adherence.
- Mitigated compliance risks by evaluating annuity transactions and reviewing marketing materials.
- Improved firm compliance through guidance on regulatory updates and internal trends.
- Led Annual Compliance Meeting and authored newsletters, fostering firm-wide regulatory awareness.
Senior Data Analyst
ACA Group
Fenton
11.2020 - 12.2021
- Advised clients on compliance, enhancing regulatory adherence and reducing risk exposure.
- Reviewed marketing materials, ensuring SEC and FINRA compliance, preventing potential violations.
- Identified compliance issues, providing actionable insights for broker-dealers and RIAs.
- Collaborated with teams to align strategies with regulatory requirements, fostering compliance culture.
Chief Compliance Officer
Stern Brothers
St. Louis
04.2020 - 09.2020
- Ensured federal securities compliance, managing exams and regulator interactions.
- Achieved CEO certification by overseeing comprehensive processes.
- Developed SEC compliance policies and client documents pre-Regulation Best Interest.
- Customized compliance training to align with firm-specific risks and offerings.
Director of Compliance
MassMutual
Chesterfield
03.2017 - 01.2020
- Led compliance program ensuring regulatory adherence across business units and processes.
- Collaborated with regulators and internal teams, resolving complex regulatory issues.
- Guided 70 advisors to achieve full compliance, enhancing team capabilities.
- Conducted annual compliance meetings, improving legal issue management.
- Developed training materials, boosting cross-functional compliance knowledge.
Senior Regulatory Affairs Analyst
Stifel Financial Corporation
St. Louis
03.2015 - 03.2017
- Reviewed and approved regulatory documents, ensuring compliance with SEC, FINRA, and MSRB.
- Fostered strong regulator relationships, facilitating smooth audit processes.
- Collaborated with senior managers and legal to address and resolve compliance issues.
- Coordinated remediation efforts for compliance issues found in regulatory exams.
- Enhanced regulatory compliance, contributing to seamless audit execution.
Chief Compliance Officer
Larson Financial Group, LLC
St. Louis
05.2011 - 03.2015
- Led compliance program development, enhancing firm efficiency and regulatory adherence.
- Authored and annually tested supervisory procedures for CEO certification.
- Implemented digital marketing review system, improving workflow and accuracy.
- Hired and trained compliance officers, strengthening branch oversight.
- Conducted annual procedure testing, ensuring compliance and strategic alignment.
Assistant Vice President
Wells Fargo Advisors & Wachovia Securities
St. Louis
01.2008 - 01.2011
- Conducted audits for 120 branches, ensuring compliance and operational integrity.
- Supervised trade and annuity transactions, enhancing procedural adherence.
- Led field supervision of electronic communications, improving regulatory compliance.
Assistant Vice President
A.G. Edwards and Sons, Inc./Wachovia Securities / Wells Fargo Advisors
St. Louis
01.2005 - 01.2007
- Oversaw 3 complexes, ensuring compliance and operational efficiency.
- Reviewed and approved annuity transactions, including complex 1035 exchanges.
- Analyzed branch exception reports, enhancing accuracy and compliance.
- Provided sales supervision, fostering ethical practices and growth.
- Approved advertising, ensuring alignment with regulatory standards.
Director, Field Supervision
Edward Jones
St. Louis
01.2000 - 01.2005
- Conducted compliance audits for 120 branches, ensuring regulatory adherence.
- Led field supervision, enhancing trade and communication oversight.
- Managed annuity transactions, improving accuracy and efficiency.
- Directed advertising compliance, reducing regulatory risks.
- Streamlined electronic communications, boosting operational effectiveness.
Education
Political Science & Government
University of Missouri-Columbia
Columbia, MO01.1990
Divinity
Christian Leaders Institute
RemoteSkills
- Investment adviser and broker-dealer compliance
- Compliance leadership and programs
- SEC and FINRA regulations
- Anti-money laundering strategies
- Risk assessment and management
- Registered products oversight
- Private funds compliance
- Compliance controls and audits
- Regulator relations and communication
- Employee training and development
Certification
- SIE | Series 7, 63, 24, 9, 10, 51, 52, 53, and 66 Registrations
- Registrations and licenses active with no disclosures
References
- Gregory, Standeford, General Counsel & Chief Risk Officer, RubinBrown LLP, Contact information available upon request
- Sean, O'Hanlon, General Counsel, Larson Financial Group, LLC, Contact information available upon request
- Wayne, Atkins, Chief Compliance Officer, FEFA Financial LLC, Contact information available upon request
Languages
English
Professional
Spanish
Limited
Additional information
- Key Compliance Highlights
- Established broker-dealer and RIA compliance strategy, program, and team for a national financial advisory firm.
- Led compliance program of a Fortune 500 life insurance subsidiary.
- Formed compliance policies and procedures for a broker-dealer in time for Regulation Best Interest effective date.
- Mitigated compliance risks for a multinational investment firm by driving revamp of branch exam program/procedures.
Timeline
Regional Risk Supervisor - Assistant Vice President
Wells Fargo Advisors Financial Network
05.2023 - Current
Financial Advisor
FEFA Asset Management, LLC
11.2022 - 05.2023
Compliance Officer
EFS Advisors
12.2021 - 11.2022
Senior Data Analyst
ACA Group
11.2020 - 12.2021
Chief Compliance Officer
Stern Brothers
04.2020 - 09.2020
Director of Compliance
MassMutual
03.2017 - 01.2020
Senior Regulatory Affairs Analyst
Stifel Financial Corporation
03.2015 - 03.2017
Chief Compliance Officer
Larson Financial Group, LLC
05.2011 - 03.2015
Assistant Vice President
Wells Fargo Advisors & Wachovia Securities
01.2008 - 01.2011
Assistant Vice President
A.G. Edwards and Sons, Inc./Wachovia Securities / Wells Fargo Advisors
01.2005 - 01.2007
Director, Field Supervision
Edward Jones
01.2000 - 01.2005
Political Science & Government
University of Missouri-Columbia
Divinity
Christian Leaders Institute
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