Elizabeth Wilson

FAQ About Elizabeth Wilson

• What is Elizabeth Wilson's address?

  Elizabeth Wilson is located at
  Los Angeles Metropolitan Area, Los Angeles Metropolitan Area, United States

• What is Elizabeth Wilson's job title?

  Elizabeth Wilson is a
  Solution-driven securities compliance professional with expertise crafting, implementing and enforcing sophisticated operational and supervisory compliance guidelines that manage risk, establish effective controls and address regulatory rules and requirements. Successfully build relationships based on credibility, dedication and diplomacy. Achieved a low risk rating designation from FINRA, reducing the frequency of audits from every year to once every four years as a result of careful development and execution of tailored compliance programs, oversight and testing of policies/procedures. Proficient in broker/dealer and investment advisor compliance and operations, audit processes, reporting requirements and responding to SEC, FINRA, and NYSE examinations. A hands on leader with ability to communicate complex information to all levels of personnel, execute multi-faceted initiatives and streamline intricate processes. Practiced in identifying high-risk areas and establishing appropriate policies, procedures and internal controls that are understandable, testable, defensible and enforceable. Highly skilled at protecting against negative reputational exposure by providing proactive, responsive, and effective compliance program leadership, maintaining a solid framework for compliance control with built in risk assessment and continuous improvement. Adept at critical thinking, multitasking, problem solving and mitigating regulatory risk while supporting business priorities. Positive, charismatic, and driven. Curious and quick to digest and comprehend new regulatory information and consequences. Rigorous attention to detail and follow-through. Decision maker with sound judgment. Able to manage multiple projects simultaneously and meet deadlines. Public Speaker: Panelist with Senior FINRA staff and industry representatives as a subject matter expert. Available for consulting or full-time opportunities @ [email protected]. Wilson Regulatory Compliance Consulting

• What industry does Elizabeth Wilson currently work in?

  Elizabeth Wilson currently works in the
  Wilson Regulatory Compliance Consulting

• What is Elizabeth Wilson's area of expertise?

  Elizabeth Wilson specializes in
  Solution-driven securities compliance professional with expertise crafting, implementing and enforcing sophisticated operational and supervisory compliance guidelines that manage risk, establish effective controls and address regulatory rules and requirements. Successfully build relationships based on credibility, dedication and diplomacy. Achieved a low risk rating designation from FINRA, reducing the frequency of audits from every year to once every four years as a result of careful development and execution of tailored compliance programs, oversight and testing of policies/procedures. Proficient in broker/dealer and investment advisor compliance and operations, audit processes, reporting requirements and responding to SEC, FINRA, and NYSE examinations. A hands on leader with ability to communicate complex information to all levels of personnel, execute multi-faceted initiatives and streamline intricate processes. Practiced in identifying high-risk areas and establishing appropriate policies, procedures and internal controls that are understandable, testable, defensible and enforceable. Highly skilled at protecting against negative reputational exposure by providing proactive, responsive, and effective compliance program leadership, maintaining a solid framework for compliance control with built in risk assessment and continuous improvement. Adept at critical thinking, multitasking, problem solving and mitigating regulatory risk while supporting business priorities. Positive, charismatic, and driven. Curious and quick to digest and comprehend new regulatory information and consequences. Rigorous attention to detail and follow-through. Decision maker with sound judgment. Able to manage multiple projects simultaneously and meet deadlines. Public Speaker: Panelist with Senior FINRA staff and industry representatives as a subject matter expert. Available for consulting or full-time opportunities @ [email protected].

• Which languages does Elizabeth Wilson speak? 

  Elizabeth Wilson speaks the following languages:
  No languages available.

• Which industries has Elizabeth Wilson previously worked in?   

  Elizabeth Wilson has prior experience in the following industries:
  William Oneil , Oneil Securities , Prudential Financial

• What is Elizabeth Wilson’s work experience?  

  Elizabeth Wilson has the following professional experience:
  Wilson Regulatory Compliance Consulting , Targeting Financial Services Examination Compliance Risk Management And Mitigation , William Oneil , Oneil Securities , Prudential Financial .

• How can I find Elizabeth Wilson on LinkedIn?  

  You can view Elizabeth Wilson’s
  LinkedIn profile at LinkedIn URL.

• What are Elizabeth Wilson’s work email addresses?  

  Elizabeth Wilson’s work email addresses are
  [email protected] .

• What company does Elizabeth Wilson work for?  

  Elizabeth Wilson works at
  Wilson Regulatory Compliance Consulting