Kristopher Heig
Compliance Officer
LaVista,NE
Summary
Compliance | Risk | Financial Services
Detail-oriented Compliance Manager offering 27 years of expertise in risk management, policy development and strategic planning. Advanced knowledge of regulatory compliance with proven track record of partnering with independent RIAs and business leaders to identify vulnerabilities and create corrective actions. Collaborative and team-oriented with excellent communication and interpersonal skills to foster strategic partnerships and promote company reputation.
Overview
27
27
years of professional experience
Work History
Compliance Solutions manager
Amplify Technology
01.2024 - 03.2025
- Reviewed and approved marketing materials and social media posts, ensuring compliance with regulatory requirements
- Reviewed and approved strategy performance attestations from third party money managers for compliance with SEC Marketing Rule
- Developed and maintained relationships with partner firms to identify compliance needs for supervision and automation of processes
- Created an ADV Dashboard to simplify filing process for independent RIAs
- Researched and presented ideas for projects for Compliance solutions to assist RIAs with reporting and identifying potential risks to their firms and their clients
Compliance director
Orion Advisor Solutions
04.2018 - 09.2023
- Managed the Compliance application distributed to 2600+ RIA offices, enhancing compliance adherence and automating parts of their supervision efforts
- Led a squad of seven, including developers, testers, designers and service members, in developing an employee trade monitoring system, an ADV and 13f data tracking dashboards
- Performed sales demos and training of the Compliance application to prospective and current clients
- Monitored internal employee trading activities, OBA’s and political contributions
- Developed and maintained relationships with internal and external stakeholders to ensure compliance with applicable laws and regulations
Compliance manager
Carson Wealth Management Group
10.2015 - 03.2018
- Managed the development and implementation of compliance policies and procedures, ensuring compliance with local, state, and federal regulations, reducing compliance violations
- Developed and maintained a risk-based audit program, ensuring adherence to internal, external, and regulatory requirements
- Conducted compliance risk assessments and provided guidance on compliance-related issues, identifying and mitigating potential risks, enhancing compliance performance
- Established and maintained strong relationships with external stakeholders
- Reviewed and approved Marketing products and Social Media posts to ensure compliance with regulatory requirements and internal policies
Divisional operations manager
TD Ameritrade
02.1998 - 06.2015
- Offsite supervision of internal branch locations
- Participated in internal and external investigations into policies and procedures enforcement
- Direct Supervisor of Compliance Team and provided principal review and sign-off of all correspondence generated by Compliance Inquiry Analysts
- Worked directly with the SEC and FINRA covering branch audits and procedures for improvements
- Generated monthly reports to identify trends and abnormal situations with client complaints and all workflow through Compliance Operations
- Facilitated communication between various levels and areas of the business and Compliance relating to the management of risk and resolution of issues
- Assisted in the complete rewrite of the Desktop and Written Supervisory Procedures
Education
Bachelor's Degree -
University of Nebraska - Omaha
01.1997
Skills
- Compliance monitoring
- Auditing processes
- Internal audits
- Compliance procedures
- Advertising
- Documentation review
- Compliance reviews
- Risk management
- Policy analysis
- Federal and state regulations
- Project coordination
- Investigations skills
Certification
- Registered Representative, Series 7, 04/01/98
- Uniform Combined State Law, Series 66, 08/01/07
- General Securities Principal, Series 24, 11/01/00, expired
Timeline
Compliance Solutions manager
Amplify Technology
01.2024 - 03.2025
Compliance director
Orion Advisor Solutions
04.2018 - 09.2023
Compliance manager
Carson Wealth Management Group
10.2015 - 03.2018
Divisional operations manager
TD Ameritrade
02.1998 - 06.2015
Bachelor's Degree -
University of Nebraska - Omaha
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