Summary
Overview
Work History
Education
Skills
Affiliations
Certification
Timeline
Generic
Jeff Bornhoft

Jeff Bornhoft

Omaha,NE

Summary

Dynamic leader with extensive industry experience in both compliance and supervisory principal roles, adept at ensuring regulatory and policy adherence, and enhancing operational efficiency. Skilled in relationship building, policy education, and enforcement, ultimately fostering a culture of compliance and integrity. Hold multiple industry licenses including S24 Securities Principal.

Overview

20
20
years of professional experience
1
1
Certification

Work History

Regional Compliance/Supervision Manager

Carson Group
07.2016 - Current
  • Provide compliance oversight for partner advisor offices, ensuring adherence to firm policies and industry regulations (e.g., SEC, DOL)
  • Ensure adherence to firm and regulatory disclosure and pre-clearance requirements (e.g., OBAs, PSTs, Alts)
  • Conduct and assist with virtual and on-site audits of partner offices
  • Recommend and issue disciplinary measures on policy violations and repeat audit findings
  • Research and address escalated items from exception reports/internal monitoring review systems (e.g., trades, electronic communications, OBAs)
  • Coordinate and research regulatory requests and client complaints
  • Review (pre and post review) product and strategy recommendations ensuring they are suitable based on client investment profile
  • Improve culture of compliance through proactive communication and policy awareness
  • Serve as dedicated support regional contact for compliance and supervision inquiries


Divisional Operations Manager

TD Ameritrade
04.2014 - 07.2016
  • Provided compliance and supervision oversight of call center teams (i.e., new accounts, resource desk, specialty ops)


Sr. Fraud Investigator

TD Ameritrade
01.2008 - 04.2014
  • Investigated and resolved fraud claims for client accounts



Regulatory Compliance Analyst

TD Ameritrade
01.2006 - 01.2008
  • Researched and addressed regulatory and client complaints

Education

Business Administration

University of Nebraska, Lincoln
Lincoln, Nebraska, NE

Skills

  • Hold Series 24, 4, 7, 63, & 66 licenses
  • Supervision
  • Regulatory Compliance
  • Education
  • Relationship building
  • Proficient in both written and verbal communication
  • Effective collaboration
  • Onboarding and training
  • Discipline management
  • Prioritization skills
  • Policy and procedure development
  • Process & operational improvements

Affiliations

Registered Representative Cetera Wealth Services, LLC


Investment Advisor Representative CWM, LLC

Certification

Investment Adviser Certified Compliance Professional (IACCP®)

Timeline

Regional Compliance/Supervision Manager

Carson Group
07.2016 - Current

Divisional Operations Manager

TD Ameritrade
04.2014 - 07.2016

Sr. Fraud Investigator

TD Ameritrade
01.2008 - 04.2014

Regulatory Compliance Analyst

TD Ameritrade
01.2006 - 01.2008

Business Administration

University of Nebraska, Lincoln

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