Mark Lasswell Email & Phone Number
Chief Compliance Officer @ RiverSource
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Mark Lasswell Location
- Minneapolis, MN, US
Mark Lasswell Work
- 2020 -now Chief Compliance Officer @
- 2018 -now VP and Compliance @
- 2014 -2018 Senior Vice President and Chief Compliance Officer @
- now Vice President (VP) and Strategic Business Initiatives Manager and Relationship Mgr @ Wells Fargo
- 2000 -2009 Senior Vice President (SVP) and COO, CCO @
- 2000 -2000 Senior Vice President and CAO @ Wells Fargo Brokerage Services, LLC
- 1998 -2000 Director and Licensing and Registration @ The Prudential Insurance Company of America
- 1993 -1998 Senior Vice President and CCO @ Norwest Investment Services, Inc.
- 1990 -1993 Vice President and FINOP and Finance and Regulatory Reporting Manager @ Norwest Investment Services, Inc.
- 1988 -1990 Trust Officer and Fund Accounting Manager @ Norwest Bank
- 1985 -1988 Auditor and Audit Senior @ KPMG Peat Marwick
Mark Lasswell Education
- St. John's University
Bachelor of Science (B.S.) (Accounting, minor in Business Administration)
- University of St. Thomas
Master of Business Administration (MBA) (Marketing)
- University of St. Thomas
Mark Lasswell Skills
- Brokerage Compliance
- Compliance
- Board of Director experience
- Change Management
- Collaborative Leadership
- Communication Skills
- Executive Coaching
- Financial Analysis
- FINRA
- Investments
- Investment Brokerage
- Offshore Outsourcing
- P&L Responsibility
- Presenter
- Risk Management
- Strategic Planning
- Technical Writing
- Series 7
- Series 24
- Series 4
- Series 53
- Series 65
- Series 27
- Series 63
- CPA (inactive)
- State of Minnesota Life/Health and Variable Annuity Insurance Licenses
- Brokerage
- Budgets
- Board of Directors
- Process Improvement
- Fixed Income
- Leadership
- Management
- P&L Management
- Capital Markets
- Banking
- Wealth Management
- Retirement
- Mutual Funds
- Relationship Management
- Bonds
- Operations Management
- Training
Mark Lasswell Summary
- Mark Lasswell, based in Minneapolis, MN, US, is currently a Chief Compliance Officer at RiverSource. Mark Lasswell brings experience from previous roles at Ameriprise Financial Services, Inc., Securities America Inc., Wells Fargo and Wells Fargo Securities, LLC. Mark Lasswell holds a Bachelor of Science (B.S.) in Accounting, minor in Business Administration @ St. John's University. With a robust skill set that includes Brokerage Compliance, Compliance, Board of Director experience, Change Management, Collaborative Leadership and more. Mark Lasswell has 2 emails and 2 mobile phone numbers on RocketReach.
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