Kevin Spence Email & Phone Number
Senior Director, Front Office Advice and Guidance @ Empower group
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Kevin Spence Location
- Concord, NC, US
Kevin Spence Work
- Senior Director, Front Office Advice and Guidance @ (June 2026 - Present)
- FINRA Industry Arbitrator @ (June 2015 - Present)
- Senior Director, Senior Compliance Officer @ (November 2020 - May 2026)
- Field Supervisor - Attorney @ (August 2020 - November 2020)
- Managing Director, Chief Compliance Officer @ (January 2018 - October 2020)
- VP Senior Compliance Manager, Regulatory Compliance @ (December 2015 - December 2017)
- VP Senior Compliance Officer - Digital and Advisory Services @ (January 2012 - January 2015)
- VP Senior Compliance Officer - Retail Surveillance @ (January 2006 - January 2012)
- Associate VP Compliance Officer - Registration and Licensing @ (January 2004 - January 2006)
- Associate VP Compliance Officer - Dispute Resolution @ (January 2001 - January 2004)
Kevin Spence Education
- Saint Louis University School of Law
Juris Doctorate
- Virginia Commonwealth University
BS
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
- Alternative Dispute Resolution
- Brokerage
- Conflicts Management
- Financial Services
- Investment Adviser Compliance
- Investment Advisory Services
- Legal Compliance
- Legal Issues
- Litigation
- Management
- Project Management
- Regulatory Reporting
- Securities
- 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, Front Office Advice and Guidance at Empower. Kevin Spence brings experience from previous roles at Financial Industry Regulatory Authority (FINRA), TIAA, William & Mary Law School and Cary Street Partners. 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 3 emails and 1 mobile phone numbers on RocketReach.
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