Christine Warner Email & Phone Number
Chief Compliance Officer
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Christine Warner Location
- Mount Pleasant, TX, US
Christine Warner Work
- Chief Compliance Officer @ Monticello Financial Group, LLC (April 2021 - Present)
- President @ Clarity Compliance & Operations Services (January 2016 - Present)
- Chief Compliance Officer @ (May 2017 - April 2021)
- Chief Compliance Officer @ (April 2010 - December 2015)
- TFA Conversion Manager @ (October 2013 - March 2015)
- ISO Quality Systems Manager @ Tompkins Financial Advisors/ Ensemble Financial Advisors, Inc. (May 2003 - December 2011)
- Assistant Chief Compliance Officer @ (January 2006 - April 2010)
- Compliance Officer @ AXA (f/k/a MONY) (January 2003 - January 2005)
- Compliance Associate @ (January 1998 - January 2003)
- Legal Regulatory Specialist @ Rochester Community Savings Bank (January 1988 - January 1998)
Christine Warner Education
- Campbell University
Certificate (Southeastern Trust School)
2010-2010 - Rochester Institute of Technology
Certificate (ISO Implementaion)
2006-2006 - St. John Fisher University
Bachelor’s Degree (Psychology)
1978-1982
Christine Warner Skills
- AML
- Advertising Principal
- Annuities
- Bank Secrecy Act
- Banking
- Best Execution
- Block Trading
- Broker-Dealer Compliance
- COSO
- Compliance Operations
- Compliance Oversight
- Compliance Procedures
- Compliance Training
- Due Diligence
- ETFs
- Equity Indexed Annuities
- Ethics
- FINRA
- FinCEN
- Financial Planners
- Financial Services
- Governance
- ISO 9000
- Investment Advisers Act
- Investment Advisor Compliance
- Investment Company Act
- KYC
- Municipal Principal
- Options Principal
- Policies & Procedures Development
- Process Improvement
- Project Management
- Quality Management
- Regulatory Examinations
- Regulatory Requirements
- Regulatory Submissions
- Risk Assessment
- Risk Management
- SEC
- Sarbanes-Oxley Act
- Securities Exchange Act of 1934
- Securities Regulation
- Series 24
- Series 6
- Series 63
- Series 65
- Series 7
- Soft Dollars
- Surveillance
- Trust Services
- USA PATRIOT Act
- Uniform Combined State Law
- Variable Annuities
Christine Warner Summary
- Christine Warner, based in Mount Pleasant, TX, US, is currently a Chief Compliance Officer at Monticello Financial Group, LLC. Christine Warner brings experience from previous roles at Clarity Compliance & Operations Services, Fortune Financial Services, Inc. and Tompkins Financial Advisors / Ensemble Financial Services, Inc. / Tompkins Finan. Christine Warner holds a 2010 - 2010 Certificate in Southeastern Trust School @ Campbell University. With a robust skill set that includes AML, Advertising Principal, Annuities, Bank Secrecy Act, Banking and more. Christine Warner has 1 emails and 1 mobile phone numbers on RocketReach.
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