Jamie Rudser
Woodbury,MN
Summary
Accomplished Associate Director of Corporate Compliance at Piper Sandler, adept in strategic leadership and regulatory compliance. Spearheaded team development, enhancing collaboration and fostering a culture of continuous improvement. Proven track record in compliance management, significantly improving adherence to industry regulations. Skilled in project management and coaching, driving operational excellence and innovation.
Overview
26
26
years of professional experience
1
1
Certification
Work History
Associate Director of Corporate Compliance
Piper Sandler
Minneapolis, MN
03.2022 - Current
- Develop high-performing teams by providing mentorship, guidance, and opportunities for professional growth.
- Enhance team collaboration through regular communication, goal setting, and performance evaluations.
- Establish a culture of continuous improvement by fostering open communication channels and empowering employees to voice their ideas.
- Manage the employee registrations and licensing function for the firm.
- Oversee the firm's electronic communication program.
- Respond to regulatory inquiries and exam requests from industry regulatory bodies.
- Provide system support and compliance reporting.
- Partner with Technology to provide guidance and ensure compliance with rules and regulations pertaining to emerging technologies.
Compliance Manager
Piper Sandler
Minneapolis, MN
09.2013 - 03.2022
- Conducted reviews to monitor adherence to firm policies and industry rules and regulations.
- Developed compliance strategies, programs and policies related to electronic communication and technology.
- Created and administered employee training.
- Conducted branch office inspections.
Trade Operations Manager
Piper Sandler
Minneapolis, MN
09.1998 - 09.2013
- Supervised operations staff and kept employees compliant with company policies and procedures.
- Conducted regular performance reviews, identifying areas for improvement and developing action plans to address them.
- Managed the trade comparison and trade settlement operations for a self-clearing broker dealer.
Education
Bachelor of Science - Public Administration
University of North Dakota
Grand Forks, ND05.1998
Skills
- Project Management
- Strategic leadership
- Analytical Thinking
- Coaching and Mentoring
- Regulatory Compliance
- Compliance Management
Certification
- SIE, Series 99, 7 & 24
Timeline
Associate Director of Corporate Compliance
Piper Sandler
03.2022 - Current
Compliance Manager
Piper Sandler
09.2013 - 03.2022
Trade Operations Manager
Piper Sandler
09.1998 - 09.2013
Bachelor of Science - Public Administration
University of North Dakota