Jason Rives Email & Phone Number
Chief Compliance Officer-Figure Markets @ Figure Markets
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Jason Rives Location
- Las Vegas, NV, US
Jason Rives Work
- 2024 -now Chief Compliance Officer-Figure Markets @
- 2023 -2024 Chief Compliance Officer - Marketplace @
- 2019 -2023 FVP, Chief Compliance Officer @
- 2019 -2023 VP, Chief Compliance Officer @ Axos Invest, Inc., and LLC
- 2019 -2019 Assistant Vice President, Investment Advisory Operations and Compliance @
- 2015 -2019 Director, RIA and Brokerage Compliance @
- 2014 -2015 Chief Compliance and Risk Officer @ First Midwest Securities, Inc. / FMSI Advisers, Inc.
- 2013 -2014 Deputy Chief Compliance Officer @ FMSI Advisers, Inc.
- 2010 -2013 Operations Principal @ First Midwest Securities, Inc
- 2006 -2008 Operations Specialist @ Securities Service Network, Inc.
- 2004 -2004 Senior Brokerage Consultant @ Diversified Underwriters Services
- 2002 -2003 Marketing Consultant and Internal Wholesaler @
- 1998 -2002 Operations and Controls Specialist @
Jason Rives Education
- University of Kentucky
None (Mathematics)
1993-1994
Jason Rives Skills
- Internal Compliance
- Compliance Oversight
- Research Skills
- Legal Compliance
- Series 7
- Financial Services
- Investment Advisory
- Investments
- Securities
- Fixed Annuities
- Alternative Investments
- Insurance
- Equities
- Financial Advisory
- Asset Management
- Portfolio Management
- Finance
- Wealth Management
- 401k
- Risk Management
- Series 63
- Investment Management
- Retirement
- Asset Allocation
- Investment Banking
- AML
- Fixed Income
- Bonds
- Options
- Retirement Planning
- Strategic Financial Planning
- Capital Markets
- Legal Writing
- Microsoft Office
- Management
- Customer Service
- Outstanding people skills
- Transition Management
- Leadership
- Series 24
- FINRA
- ETFs
- Investment Brokerage
- Variable Annuities
- Expert relationship builder
- Series 65
- Series 4
- Margin
- Federal & State Regulatory Compliance
- U.S. Securities and Exchange Commission (SEC)
- Regulatory Compliance
- Tenant Representation
- Compliance Management
- Brand Development
- u.s. Securities and Exchange Commission
- Federal and State Regulatory Compliance
Jason Rives Summary
- Jason Rives, based in Las Vegas, NV, US, is currently a Chief Compliance Officer-Figure Markets at Figure Markets. Jason Rives brings experience from previous roles at Figure, Axos Securities, Axos Invest, Inc., and LLC and Horace Mann. Jason Rives holds a 1993 - 1994 None in Mathematics @ University of Kentucky. With a robust skill set that includes Internal Compliance, Compliance Oversight, Research Skills, Legal Compliance, Series 7 and more. Jason Rives has 4 emails and 1 mobile phone numbers on RocketReach.
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