Joseph Zimmermann
Randolph,WI
Summary
Dynamic leader in compliance and risk management with established success at Crown Haven Wealth Advisors. Specialist in contract administration and stakeholder communication, ensuring zero compliance findings. Proficient in crafting internal processes and training teams, boosting operational efficiency and audit preparedness. Committed to nurturing robust client relationships and propelling organizational success. Vice President with expertise in compliance and regulatory control, ensuring zero compliance findings while managing contracts exceeding $20M. Skilled in budget review, risk identification, and stakeholder training.
Overview
5
5
years of professional experience
2
2
Certifications
Work History
Vice President of Advisory Services (Compliance, Risk, Documentation Management)
Crown Haven Wealth Advisors
Carmel, IN
09.2023 - 07.2025
- Administered and monitored client agreements and financial arrangements exceeding $20M in assets, ensuring alignment with contractual terms, regulatory requirements, and internal compliance standards.
- Reviewed and analyzed financial documentation, budgets, and deliverables to ensure accuracy, completeness, and adherence to governing policies.
- Coordinated approvals and workflow between compliance, operations, and advisory teams to ensure timely execution of contracts and modifications.
- Developed standardized internal processes for onboarding, documentation review, and ongoing monitoring, improving accuracy and audit readiness.
- Provided guidance and technical assistance to internal staff regarding documentation standards, regulatory expectations, and procedural compliance.
- Maintained zero compliance findings, corrective actions, or audit exceptions during tenure.
Founder & President (Compliance, Policy Development, Process Management)
Pure River Wealth
Oshkosh, WI
04.2020 - 09.2023
- Independently administered client agreements, funding arrangements, and service contracts, ensuring compliance with federal and state financial regulations.
- Reviewed funding structures, budgets, and financial projections to assess risk, feasibility, and compliance with governing rules.
- Interpreted regulatory guidance and carrier requirements to ensure contracts were enforceable, compliant, and properly executed.
- Developed internal tracking and monitoring systems using CRM and Excel to manage performance milestones, documentation, and reporting obligations.
- Provided consultation and training to partners and vendors regarding documentation standards, timelines, and compliance expectations.
- Managed corrective actions when discrepancies were identified, ensuring resolution and documentation.
Skills
- Compliance and regulatory control
- Contract administration
- Budget review and fiscal monitoring
- Procurement and vendor coordination
- Project management
- Policy review and documentation
- Stakeholder training and support
- Data analysis and reporting
- Risk identification and corrective action
- CRM management (Salesforce, Excel)
- Workflow optimization
- File accuracy and recordkeeping
- Trend analysis and risk modeling
- Proposal support
- Cross-functional team guidance
- Stakeholder communication
- Training and mentorship
- Client relationship development
- Issue resolution and escalation
Leadership Client Management
- Project coordination
- Cross-functional team guidance
- Stakeholder communication
- Training & mentorship
- Client relationship development
- Issue resolution & escalation management
Analytical Technical Strengths
- Data analysis & reporting (Advanced Excel)
- Workflow optimization
- CRM and documentation systems
- File accuracy & regulatory recordkeeping
- Trend analysis & risk modeling
- Proposal and reporting support
Certification
Series 65
References
References available upon request.
Timeline
Vice President of Advisory Services (Compliance, Risk, Documentation Management)
Crown Haven Wealth Advisors
09.2023 - 07.2025
Founder & President (Compliance, Policy Development, Process Management)
Pure River Wealth
04.2020 - 09.2023