Kimberly Sparks
Piedmont,SC
Summary
Compliance professional with extensive experience in regulatory compliance and audit procedures. Demonstrated success as Chief Compliance Officer and Regulatory Exam Manager, achieving significant results in risk management and project oversight.xperienced compliance professional bringing many years of expertise in regulatory compliance, audit procedures, with a strong background as Chief Compliance Officer, Regulatory Exam Manager, and Branch Audit Manager. Proven track record in regulatory compliance, risk management, and project oversight, delivering critical results. Skilled in audit methodologies and team leadership, fostering staff development and operational efficiency. Strategic thinker with a commitment to effective resource management and program execution. Excellent history of delivering effective leadership and training to support staff development.
Overview
16
16
years of professional experience
1
1
Certification
Work History
Supervision Principal – Contract Role
First Command Financial Services
03.2025 - 06.2025
- Conducted thorough reviews of client profiles to assess risk tolerance and investment objectives.
- Ensured compliance with regulatory policies and procedures for complex products and transactions.
- Reviewed and accepted new brokerage and managed accounts as appropriate.
- Coordinated with advisors to resolve Protegent alerts, ensuring timely communication and resolution.
- Led monthly district advisory calls to discuss financial planning trends and alerts.
- Monitored daily trade blotters and annuity applications for compliance and accuracy.
- Provided training on regulatory policies and procedures to enhance field force support.
- Collaborated with Financial Planning Consultants to address compliance issues and training needs.
Sr. Supervision Auditor – Branch Exam Manager
Cetera Financial Institutions
11.2018 - 12.2024
- Conducted on-site and virtual inspections of assigned Cetera Financial Institution Branch Offices to evaluate compliance.
- Prepared for branch exams by scheduling, reviewing advisor accounts, trade activity, and revenue reports.
- Reviewed outside business activities, brokerage accounts, complaints, CRD, IARD, and other relevant documentation.
- Interviewed advisors and examined onsite materials during audits or performed reviews virtually via Zoom or Teams.
- Issued timely branch letters detailing deficiencies identified during audits.
- Assessed branch exam responses for completeness and followed up with advisors as needed.
Sr. Supervision Specialist - Regulatory Exam Manager
Cetera Financial Group
12.2015 - 11.2018
- Served as primary liaison for regulatory examinations with FINRA, SEC, and state regulators.
- Collected, analyzed, and delivered requested data and documents to examiners.
- Facilitated communication between examiners and firm personnel to address inquiries.
- Coordinated interactions between regulators and subject matter experts on firm policies.
- Prepared staff for potential examination questions and topics.
- Represented firm during examination exit meetings.
- Collaborated with Compliance and senior management teams to draft responses to findings.
- Assisted in developing remediation plans for identified issues during examinations.
Senior Examiner
LPL Financial, Inc.
10.2013 - 11.2015
- Conducted on-site inspections of LPL Financial branch offices to evaluate sales practices and compliance with regulations.
- Assumed leadership role in joint exams, enhancing collaboration and efficiency.
- Coordinated branch exam preparations, including scheduling, travel arrangements, and distribution of confirmations.
- Facilitated pre- and post-exam meetings with Branch Managers to discuss findings and strategies.
- Reviewed branch exam responses for completeness, ensuring all necessary follow-ups occurred.
- Evaluated completed branch exam packages from junior examiners before submission to management.
- Supported peers and management across various departmental responsibilities as needed.
- Participated in GRC working groups and committees to contribute to organizational improvements.
Chief Compliance Officer / AML CO
SANDLAPPER Securities, LLC. / Sandlapper Wealth Management, LLC
Greenville, SC
07.2012 - 08.2013
- Reviewed and tested compliance program per FINRA Rule 3012/3130.
- Developed, implemented, and revised policies for daily operations of Firm.
- Oversaw Compliance, Operations, and New Accounts Departments to ensure accountability.
- Reviewed and filed firm marketing materials with relevant SROs.
- Evaluated alleged violations and recommended initiation of investigations.
- Developed annual training plan, overseeing firm element and regulatory education requirements.
- Monitored compliance activities across departments to identify trends and vulnerabilities.
- Served as primary liaison for regulatory examinations with FINRA, SEC, and state regulators.
- Ensured proper reporting of violations to authorized SROs as required.
Vice President / Chief Compliance Officer
First Midwest Securities, Inc.
Bloomington, IL
08.2009 - 07.2012
- Reviewed and tested compliance program according to FINRA Rule 3012/3130.
- Served as primary liaison for regulatory examinations with FINRA, SEC, and state regulators.
- Developed, initiated, maintained, and revised operational policies and procedures for the Firm.
- Oversaw Compliance, Operations, and New Accounts Departments to meet accountability standards.
- Served as primary liaison with Pershing and Legent regarding compliance issues.
- Ensured completion of compliance tasks by officers, including personal trading and AML reviews.
- Evaluated alleged rule violations, recommending initiation of investigative procedures when necessary.
- Monitored compliance activities across departments to identify trends and ensure adherence.
- Identified compliance vulnerabilities, implementing corrective action plans to mitigate risks.
Education
High School Diploma -
Mitchell High School
Ledger, NC01.1985
Skills
- Risk assessment and management
- Data analysis and reporting
- Policy and compliance development
- Audit and compliance management
- Project management and oversight
- Effective communication skills
- Problem solving strategies
- Team leadership and management
- Analytical and critical thinking
- Internal controls and audits
- Program oversight
- Deficiency documentation
- Remediation planning
- Regulations enforcement
- Written communication proficiency
- Regulatory compliance expertise
- Investment advisory knowledge
- Anti-money laundering practices
Certification
- FINRA Series 6, 7, 9, 10, 24, 63, 66, 99 Licensed
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Work Preference
Work Type
Full TimeWork Location
RemoteOn-SiteHybridImportant To Me
Work-life balanceCompany CultureHealthcare benefitsPaid time offPaid sick leave401k matchStock Options / Equity / Profit SharingCareer advancementFlexible work hoursWork from home optionPersonal development programsTeam Building / Company Retreats4-day work weekTimeline
Supervision Principal – Contract Role
First Command Financial Services
03.2025 - 06.2025
Sr. Supervision Auditor – Branch Exam Manager
Cetera Financial Institutions
11.2018 - 12.2024
Sr. Supervision Specialist - Regulatory Exam Manager
Cetera Financial Group
12.2015 - 11.2018
Senior Examiner
LPL Financial, Inc.
10.2013 - 11.2015
Chief Compliance Officer / AML CO
SANDLAPPER Securities, LLC. / Sandlapper Wealth Management, LLC
07.2012 - 08.2013
Vice President / Chief Compliance Officer
First Midwest Securities, Inc.
08.2009 - 07.2012
High School Diploma -
Mitchell High School
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