Jeriene Reed
Selbyville,DE
Summary
Dedicated financial services leader with 30+ years of progressive experience across risk management, compliance, operations, and client advisory roles. Proven ability to develop and lead cross-functional teams, implement regulatory standards, and drive strategic initiatives across major institutions.
Overview
26
26
years of professional experience
1
1
Certification
Work History
Financial Advisor
Edward Jones
11.2024 - Current
- Deliver personalized financial plans aligned with client goals, risk tolerance, and market conditions.
- Collaborate with legal, tax, and insurance professionals for holistic wealth planning.
- Monitor portfolio performance and adjust strategies proactively.
Sr. Manager, Digital Retail Risk
Charles Schwab
05.2023 - 08.2024
- Established a new oversight function mitigating disclosure risks in digital channels.
- Led targeted reviews, testing, and compliance remediation projects.
- Partnered cross-functionally with RCSA, audit, and technical teams to enhance disclosure governance.
Sr. Manager, Compliance and Business Unit Risk
Charles Schwab
05.2021 - 05.2023
- Led enterprise compliance risk assessments focused on Investment Advisers Act & Investment Company Act compliance.
- Prioritized regulatory efforts and remediation planning based on findings.
- Developed monitoring frameworks and delivered regulatory training.
Sr. Manager, Schwab Asset Management Risk
Charles Schwab
05.2019 - 05.2021
- Oversaw regulatory and operational risk frameworks across asset management units.
- Directed policy and procedure development to meet FINRA and internal supervision standards.
- Managed licensing, continuing education, and regulatory certification processes.
Manager, Operations Risk & Remediation
TD Ameritrade
08.2014 - 05.2019
- Led risk assessments and ICAP testing across brokerage operations.
- Drove audit readiness and managed KRI data for firm-wide reporting.
- Supported remediation planning and internal control testing.
Vice President, Relationship Manager & Compliance
Wells Fargo Advisors
12.2011 - 08.2014
- Implemented and monitored firm-wide compliance programs aligned with federal and state regulations.
- Delivered training, managed audit engagements, and authored regulatory performance reports.
Risk Management Analyst
Wells Fargo Advisors / Wachovia Securities
01.2006 - 01.2011
- Managed access controls, SOX testing, and regulatory reporting including FOCUS and TIC reports.
- Served as Business Continuity lead and conducted audit remediations.
Trader / Senior Taxable Fixed Income Liaison
Wachovia Securities
01.2003 - 01.2006
- Executed large block equity trades; handled syndicate and fixed income broker support.
VP, Middle Office Supervisor
First Union Securities
01.2000 - 01.2003
- Oversaw trade corrections, reconciliation, and error resolution across trading desks.
Education
Bachelor of Science - Business Management/Finance
St. John's University
01.1989
Skills
- Portfolio management
- Financial planning
- Risk assessment
- Regulatory compliance
- Wealth management
- Client relationship management
Certification
- Series 7, 27, 63, 66
- Insurance Licensed
Timeline
Financial Advisor
Edward Jones
11.2024 - Current
Sr. Manager, Digital Retail Risk
Charles Schwab
05.2023 - 08.2024
Sr. Manager, Compliance and Business Unit Risk
Charles Schwab
05.2021 - 05.2023
Sr. Manager, Schwab Asset Management Risk
Charles Schwab
05.2019 - 05.2021
Manager, Operations Risk & Remediation
TD Ameritrade
08.2014 - 05.2019
Vice President, Relationship Manager & Compliance
Wells Fargo Advisors
12.2011 - 08.2014
Risk Management Analyst
Wells Fargo Advisors / Wachovia Securities
01.2006 - 01.2011
Trader / Senior Taxable Fixed Income Liaison
Wachovia Securities
01.2003 - 01.2006
VP, Middle Office Supervisor
First Union Securities
01.2000 - 01.2003
Bachelor of Science - Business Management/Finance
St. John's University
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