William Brooks Email & Phone Number
B and D Chief Compliance Officer @ Synovus
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William Brooks Location
- Atlanta, GA, US
William Brooks Work
- 2022 -now B and D Chief Compliance Officer @
- 2018 -2022 Senior Compliance Officer @
- 2017 -2018 Home Office Principal 2 @
- 2015 -2017 Research Director @ Securities Compliance Management
- 2015 -2015 Senior Compliance and Research Analyst @ Securities Compliance Management
- 2007 -2014 Regulatory Control Consultant II @
- 2005 -2007 Branch Examination Manager @
- 2005 -2014 VP @
- 2000 -2005 Senior Compliance Examiner @ FINRA
- 1992 -1995 ET @
William Brooks Education
- University of West Florida
BSBA (Finance)
1997-2000 - EHCS
William Brooks Skills
- Series 24
- Internal Controls
- Series 7
- Leadership
- Mutual Funds
- Microsoft Word
- Policies and Procedures Development
- Life and Health
- Research
- Brokerage
- Project Management
- Securities Regulation
- Variable Products
- Financial Services
- Investments
- Asset Management
- FINRA
- Data Analysis
- Risk Management
- Wealth Management
- Securities
- Investment Advisory Representative
- Policies and Procedures
- Operational Risk Management
- Life and Health Insurance Licensing
- Series 53
- Variable Products Licensing
- Equities
- Investment Advisory
- Banking
- Series 63
- Operational Risk
William Brooks Summary
- William Brooks, based in Atlanta, GA, US, is currently a B and D Chief Compliance Officer at Synovus. William Brooks brings experience from previous roles at Synovus, Triad Advisors and Securities Compliance Management. William Brooks holds a 1997 - 2000 BSBA in Finance @ University of West Florida. With a robust skill set that includes Series 24, Internal Controls, Series 7, Leadership, Mutual Funds and more. William Brooks has 2 emails and 2 mobile phone numbers on RocketReach.
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