Stacey Savitsky
New York
Summary
Seasoned Supervision and Compliance Manager with over 20 years of experience in the Financial Services industry. Recognized for exceptional communication, strategic problem-solving, and organizational expertise. Proven ability to lead cross-functional teams and foster collaboration across long-term initiatives and short-term projects. Adept at building strong team dynamics, and ensuring regulatory compliance.
Overview
16
16
years of professional experience
Work History
Manager of Central Supervision
Hornor, Townsend & Kent (HTK)
10.2022 - 09.2025
- Created Desktop Procedures for all supervisory tasks.
- Formed a QC team and drafted a process for review and resolution of issues.
- Act as a member of the Representative Discipline Working Group.
- Oversee all escalated issues regarding OBAs, Legal Complaints, Licensing, and trade issues.
- Manage the Internal Supervision Team in special projects, FINRA inquiries, & surveillance in addition to the VA pre-approval, RIA & advertising teams.
- Monitor and provide direction to all members of the team as well as distributing workloads and ensuring queues are current.
- Represent the firm at conferences and compliance meetings.
Manager of Field Supervision
Hornor, Townsend & Kent (HTK)
05.2021 - 10.2022
- Lead and Support the Field Supervision Team of 9 in all aspects of Broker Dealer supervision.
- Develop desktop procedures for all daily responsibilities of the team.
- Lead agency training sessions for new policies rolled out by the firm.
Director of Supervision and Compliance
Empire Wealth Strategies, Penn Mutual
New York
05.2014 - 05.2021
- Perform as a player coach for Supervision Team that supervises 6 OSJ offices in the Eastern Territory. This includes trade review, account approval, correspondence in addition to escalations.
- Build, foster and maintain relationships throughout the region.
Vice President Eastern Region
AIG Royal Alliance (Now OASIC)
New York
01.2010 - 05.2014
- Direct responsibility for 62 Managing Executive offices with approximately 700 registered representatives total in the Eastern region, from Maine to Florida.
- Conduct regular supervisory office visits with Managing Executives offices.
- Recruit, train, and manage relationships within the Eastern region.
Education
Bachelor’s degree -
New York University
Skills
- Policy writing
- Trade surveillance
- Compliance oversight
- Desktop procedures
- Regulatory compliance
- Risk management
- Team leadership
- Conflict resolution
- Relationship building
- Training and development
Volunteer Experience
- Rockaway Kiwanis, Recording Secretary, 01/01/22, Current
- Rockaway Kiwanis, Leadership Team, 01/01/23, Current
Professional Overview
Seasoned Supervision and Compliance Manager with over 20 years of experience in the Financial Services industry. Recognized for exceptional communication, strategic problem-solving, and organizational expertise. Proven ability to lead cross-functional teams and foster collaboration across long-term initiatives and short-term projects. Adept at building strong team dynamics, and ensuring regulatory compliance.
Licenses And Designations
- Series 6 Investment Company Products / Variable Contracts
- Series 63 Uniform Securities Agent
- Series 7 General Securities
- Series 65 Uniform IA
- Series 24 General Securities Principal
- Series 53 Municipal Securities Principal
- Series 4 Options Principal
- LOMA- ACS, ALMI, ASRI, AIRC Loma’s Certificate in Regulatory Compliance Essentials
- IAACP in process
Timeline
Manager of Central Supervision
Hornor, Townsend & Kent (HTK)
10.2022 - 09.2025
Manager of Field Supervision
Hornor, Townsend & Kent (HTK)
05.2021 - 10.2022
Director of Supervision and Compliance
Empire Wealth Strategies, Penn Mutual
05.2014 - 05.2021
Vice President Eastern Region
AIG Royal Alliance (Now OASIC)
01.2010 - 05.2014
Bachelor’s degree -
New York University