Deborah Jenkins
Mount Juliet,TN
Summary
Compliance Officer with extensive experience in auditing and compliance assessments, financial planning and operations gained during 20+-year career in the financial services industry. Responsible for procedures and regulatory compliance. Well-versed in conducting thorough assessments of operations, devising process improvement strategies and building cohesive, successful teams. Experienced in financial planning in areas of intake, recommendations and implementation.
Overview
26
26
years of professional experience
1
1
Certification
Work History
Chief Compliance Officer
SageSpring Wealth Partners
Franklin, Tennessee
10.2007 - 02.2025
- Maintained and revised policy procedures for general operation of compliance program.
- Planned and executed compliance audits to check company policies, procedures and controls.
- Assessed internal documentation and communications as well as public relations and advertising materials for compliance with company policies and legal requirements.
- Provided compliance risk control consultation to committees and leadership.
- Compiled and analyzed detailed feedback reports to improve solicitation and collection process.
- Conceptualized, developed and implemented system improvement initiatives.
- Completed all assignments on time and with no infractions during examinations.
- Collaborated with leadership to devise strategies to improve processes and risk controls as well as implement new systems and best practice guidelines.
- Produce annual reports detailing compliance findings and recommendations for improvements.
Operations/compliance Manager
Flautt Financial Services
Nashville, Tennessee
01.2006 - 10.2007
- Contributed to large-scale risk assessment initiatives and promoted improved business procedures and controls.
- Executed successful compliance monitoring and risk assessment programs.
- Responsible for operations and compliance compliance operations by organizing correspondence, reports and internal audits.
- Worked with contract staff to assess client proposals and enhance compliance training.
- Reviewed customer issues, company processes and all other operational areas.
- Financial planning software - EMoney responsible for input, recommendation reports and implementation documenting.
Operations New Accounts Manager
PFIC Securities
Franklin, Tennessee
03.2000 - 07.2006
- Reviewed applications against established parameters to determine approval, rejection or modification requirements.
- Compiled operational and risk reports detailing financial metrics to help management make proactive decisions.
- Streamlined operational efficiencies by developing customer service protocols and standards.
- Contributed to improvements in procedures and operations.
- Responsible for training support associates to obtain a Series 7 license
- Key associate in broker-dealer clearing firm conversion
President/Operations/Compliance
Luken Investment Group
Brentwood, Tennessee
10.1998 - 02.2000
- Executed successful compliance monitoring and risk assessment programs.
- Reviewed customer issues, company processes and all other operational areas to check compliance.
- Oversaw compliance operations by organizing correspondence, reports and internal audits.
- Organized initiatives, drafted documentation and enforce compliance with best practices.
- Improved operations by working with team members and customers to find workable solutions.
- Established RIA and setup operational processes
Education
Some College (No Degree) - Paraplanner
College For Financial Planning, Inc.
Englewood, COSkills
- Trend monitoring
- Risk management strategies
- Compliance reviews
- Reporting requirements
- Leading audits
- Risk reviews
- Regulatory compliance oversight
- Operational management
- Financial Planning
Certification
- Series 4
- Series 7
- Series 24
- Series 65
- Tennessee Insurance License
Timeline
Chief Compliance Officer
SageSpring Wealth Partners
10.2007 - 02.2025
Operations/compliance Manager
Flautt Financial Services
01.2006 - 10.2007
Operations New Accounts Manager
PFIC Securities
03.2000 - 07.2006
President/Operations/Compliance
Luken Investment Group
10.1998 - 02.2000
Some College (No Degree) - Paraplanner
College For Financial Planning, Inc.