Kevin Spence Email & Phone Number
Senior Director, Senior Compliance Officer @ TIAA
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Kevin Spence Location
- Concord, NC, US
Kevin Spence Work
- 2020 -now Senior Director, Senior Compliance Officer @
- 2015 -now FINRA Industry Arbitrator @
- 2020 -2020 Field Supervisor - Attorney @
- 2018 -2020 Managing Director, Chief Compliance Officer @
- 2015 -2017 VP Senior Compliance Manager, Regulatory Compliance @
- 2012 -2015 VP Senior Compliance Officer - Digital and Advisory Services @
- 2006 -2012 VP Senior Compliance Officer - Retail Surveillance @
- 2004 -2006 Associate VP Compliance Officer - Registration and Licensing @
- 2001 -2004 Associate VP Compliance Officer - Dispute Resolution @
Kevin Spence Education
- Saint Louis University School of Law
Juris Doctorate
- Virginia Commonwealth University
BS (Psychology)
Kevin Spence Skills
- Regulatory Compliance Management
- Leadership
- Legal Advisory
- Auditing
- Legal Research
- Program Management
- Quality Assurance
- Strategic Planning
- Internal Investigations
- Leadership Development
- Training & Development
- Negotiations
- Arbitration
- Investment Advisers Act
- Broker-Dealer Compliance
- Process Improvement
- Policy Management
- Speaker
- Budget & Fiscal Management
- Legal Document Writing
- Contracts
- Regulatory Filings
- Regulatory Examinations
- Policies & Procedures
- Securities Regulation
- Communication
- Investments
- Dispute Resolution
- Executive Management
- Interpersonal Skills
- Securities
- Financial Services
- Series 7
- Finance
- Risk Management
- Financial Risk
- Banking
- Due Diligence
- FINRA
- Mutual Funds
- Wealth Management
- Corporate Governance
- Series 63
- Anti Money Laundering
- Trading
- AML
- Capital Markets
- Analysis
- Licensing
- Legal Writing
- Equities
- Corporate Finance
- Series 24
- Investment Advisory
- Securities Market
- Series 9/10
- Federal Reserve
- Legal Advice
- Oversight
- Risk Assessment
- Series 65
- Surveillance
- Legal Opinions
Kevin Spence Summary
- Kevin Spence, based in Concord, NC, US, is currently a Senior Director, Senior Compliance Officer at TIAA. Kevin Spence brings experience from previous roles at Financial Industry Regulatory Authority (FINRA), William & Mary Law School, Cary Street Partners and HSBC. Kevin Spence holds a Juris Doctorate @ Saint Louis University School of Law. With a robust skill set that includes Regulatory Compliance Management, Leadership, Legal Advisory, Auditing, Legal Research and more. Kevin Spence has 2 emails and 1 mobile phone numbers on RocketReach.
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