Kristy Warmerdam
Manchester,NH
Summary
A critical thinker and problem solver with essential skills for effectively monitoring and enforcing compliance standards. Possessing a solid understanding of regulatory frameworks and risk management principles, well-equipped to navigate complex industry requirements. Extensive background in financial operations, administration, and sales further enhances ability to contribute to organizational success.
Overview
20
20
years of professional experience
6
6
Certifications
Work History
Director of Supervision
Northwestern Mutual
02.2022 - Current
- Led successful regulatory audits and examinations of financial representatives and registered branch offices throughout New Hampshire, Maine, Vermont, and Northern Massachusetts.
- Proactively identified potential risks and implemented mitigation strategies to minimize negative impacts on business operations and culture.
- Monitored organizational performance to identify areas for improvement and implement solutions.
- Directed strategic initiatives to align organizational goals with long-term objectives.
- Developed high-performing teams by providing mentorship, guidance, and opportunities for professional growth.
- Navigated company through periods of significant change, maintaining focus on long-term strategic goals.
- Developed customized training programs to educate employees on essential compliance topics, promoting ethical behavior across the organization.
Independent Financial Advisor
Gateway Financial Partners/LPL; Hilltop Securities Independent Network Inc.
05.2013 - 02.2022
- Collaborated with other professionals, such as attorneys and accountants, to create holistic financial strategies for clients.
- Achieved high client retention rates by consistently delivering outstanding service and proactive communication.
- Maintained up-to-date knowledge of regulatory changes and industry best practices to ensure full compliance with all applicable laws and ethical standards.
- Educated clients on various financial matters and provided professional recommendations on investment opportunities, products and services based on individual needs.
Education
Bachelor of Arts - Radio/TV/Film
University of Louisiana At Monroe
Monroe, LA01.1993
Skills
- Regulatory Compliance and Supervision
- Team Leadership
- Strategic planning
- Risk management
Certification
- Series 9/10 – General Securities Sales Supervisor
- Series 7 – General Securities Representative
- Series 66 – Uniform Combined State Law Exam
- SIE – Securities Industry Essentials Exam
- Life, Accident, Health Insurance: Annuities; Long Term Care; Disability
Timeline
Director of Supervision
Northwestern Mutual
02.2022 - Current
Independent Financial Advisor
Gateway Financial Partners/LPL; Hilltop Securities Independent Network Inc.
05.2013 - 02.2022
- Series 9/10 – General Securities Sales Supervisor
- Series 7 – General Securities Representative
- Series 66 – Uniform Combined State Law Exam
- SIE – Securities Industry Essentials Exam
- Life, Accident, Health Insurance: Annuities; Long Term Care; Disability
Bachelor of Arts - Radio/TV/Film
University of Louisiana At Monroe
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