Summary
Overview
Work History
Education
Skills
Certification
Timeline
Generic

Kimberly Cox

Land O' Lakes,FL

Summary

Seasoned financial professional with over 20 years of compliance experience in the financial industry. Specializes in ensuring regulatory adherence for advisors at West Coast Financial Group, Inc., a family-owned retirement planning firm. Adept at navigating complex and ever-changing regulatory environments, providing strategic support to enhance client-focused financial planning. Known for meticulous attention to detail, strong organizational skills, and a commitment to fostering trust and integrity. Passionate about family and community, enjoying beach time and supporting local activities in Land O' Lakes, Florida.

Overview

22
22
years of professional experience
1
1
Certification

Work History

Director of Compliance

West Coast Financial Group
10.2014 - Current
  • Managed compliance efforts, reporting and audits.
  • Prepared records and data for regular audits.
  • Consulted with financial professionals on best practices and served as project manager for all process improvements and regulatory initiatives.
  • Maintained effective working relationships with regulatory authorities, internal compliance and advisors.
  • Managed the resolution customer complaints, minimizing potential fines and penalties.
  • Facilitated open lines of communication between departments concerning ongoing regulatory changes and their impact on operations.
  • Performed regular compliance reviews and audits, identifying non-compliance issues.
  • Prepared marketing materials for our local branch.

Compliance Analyst

Invest Financial
02.2013 - 05.2014
  • Collaborated with cross-functional teams for the successful implementation of new compliance initiatives.
  • Monitored adherence to industry regulations, ensuring timely reporting of any discrepancies or violations.
  • Reviewed audit and monitoring reports related to consumer and client activities.
  • Warned violators of infractions or penalties.

Sr. OSJ Specialist

Waddell & Reed
06.2011 - 10.2012
  • Implemented new training programs for staff, leading to higher employee retention rates and better overall performance.
  • Increased efficiency by automating routine tasks with software solutions.
  • Monitored all logs and blotters.
  • Monitored incoming and outgoing correspondence.
  • Reviewed Outside Business Activities.

New Business Manager

Waddell & Reed
08.2003 - 08.2007
  • Led a team of 13 processors who were responsible for opening all new accounts.
  • Coordinated the implementation of Books and Records procedures to comply with the Patriot Act.
  • Provided training to my staff for process improvements.
  • Arizona 529 Plan Administrator.

Education

MBA -

Baker University
Baldwin City, KS

Bachelor of Science - Business Administration And Management

Washburn University of Topeka
Topeka, KS

Skills

  • Regulatory expertise
  • Audit coordination
  • Compliance monitoring
  • Effective communication skills

Certification

  • Series 24
  • Series 7
  • Series 66

Timeline

Director of Compliance

West Coast Financial Group
10.2014 - Current

Compliance Analyst

Invest Financial
02.2013 - 05.2014

Sr. OSJ Specialist

Waddell & Reed
06.2011 - 10.2012

New Business Manager

Waddell & Reed
08.2003 - 08.2007

MBA -

Baker University

Bachelor of Science - Business Administration And Management

Washburn University of Topeka

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