Kevin Thompson
Roanoke,IN
Summary
Highly proficient Senior Regional Compliance Advisor with a proven track record at Lincoln Financial Network, skilled in regulatory expertise and crafting risk-based solutions. Fostered strong collaborations with key stakeholders, serving as a trusted advisor and strategic partner to enhance compliance adherence. Led high-level projects with minimal supervision, ensuring successful execution. Critical thinker with the ability to analyze information and assess the implications of actions or strategies.
Overview
17
17
years of professional experience
1
1
Certification
Work History
Senior Regional Compliance Advisor
Lincoln Financial Network (now Osaic Wealth Inc.)
10.2010 - Current
- Served as a strategic partner and trusted advisor to financial professionals, offering expert insights on regulatory matters and finding risk-based solutions.
- Developed and presented compliance training initiatives and materials, educating firm-affiliated individuals on regulations and firm policies.
- Participated in industry conferences and networking events to stay current on emerging trends impacting compliance best practices within the field.
- Conducted investigations, prepared documentation, and presented cases related to serious compliance violations to the firm's Business Conduct Committee, consisting of senior management.
- Collaborated with legal counsel on complex or high-risk matters, ensuring alignment between compliance efforts and broader legal strategies.
- Completed ad hoc project requests efficiently and accurately as assigned by upper management.
- Developed and fostered relationships with the largest and most visible OSJs across Lincoln's two broker-dealers.
- Partnered with interdepartmental teams to develop effective risk management strategies, resulting in a more secure operational environment.
- Performed the final review of Outside Business Activity and Private Securities Transaction submissions.
Manager - Trading and Cashiering Services
NRP Financial Corporation
02.2008 - 09.2010
- Improved customer satisfaction by swiftly addressing concerns, fostering clear communication, and ensuring exceptional service delivery with a strong commitment to professionalism.
- Cross-trained existing employees to maximize team agility and performance.
- Developed and implemented procedures for training new advisors.
Education
Bachelor of Science - Business Administration
Indiana Wesleyan University
Marion, IN05.1997
Skills
- Regulatory expertise
- Teamwork and collaboration
- Time management
- Problem-solving
- Active listening
- Excellent communication
- Analytical thinking
- Decision-making
- Relationship building
- Training and development
- Risk assessment
- Professionalism
Certification
Series 7 and Series 24 licenses
*currently preparing to take the Series 66 exam
Timeline
Senior Regional Compliance Advisor
Lincoln Financial Network (now Osaic Wealth Inc.)
10.2010 - Current
Manager - Trading and Cashiering Services
NRP Financial Corporation
02.2008 - 09.2010
Series 7 and Series 24 licenses
*currently preparing to take the Series 66 exam
Bachelor of Science - Business Administration
Indiana Wesleyan University
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