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Brad Ziemba

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Brad Ziemba

Chief Compliance Officer | Finalis

Honolulu, Hawaii, United States

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Brad Ziemba

Summary

Brad Ziemba is a seasoned Chief Compliance Officer with over 25 years of experience in financial services, specializing in regulatory compliance and risk management. Based in Honolulu, Hawaii, he has a proven track record of leading compliance programs within the frameworks of FINRA and SEC. His leadership at Finalis has been pivotal in scaling the organization significantly, overseeing compliance for a rapidly growing broker-dealer. Brad's expertise encompasses complex project management, negotiation, and strategic thinking, with a strong emphasis on fostering relationships with regulatory stakeholders. An advocate for quality and accuracy, he is committed to developing innovative compliance solutions that meet evolving regulatory standards. His educational background includes an MBA from the University of Notre Dame and a BBA in Finance from The University of Memphis. Brad's professional journey reflects a dedication to excellence in the financial services sector, making him a trusted leader in compliance and risk assessment.

General

Specialist

Technical Background

Leadership Experience

Long-Term Tenure

Professional interests

Leadership Development

Emerging Technologies

Organisational experience

Corporate Experience

Consulting Experience

Brad Ziemba

Work Experience

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Chief Compliance Officer at

Finalis

July 2021 - Present

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Chief Compliance Officer at

Cabrera Capital Markets LLC

February 2018 - July 2021

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Deputy Chief Compliance Officer at

Elementum (Bermuda) Ltd.

May 2016 - February 2018

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VP, Compliance Officer Fixed Income Capital Markets at

Spb Limited Partnership

June 2013 - May 2016

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Chief Compliance Officer at

SouthState | DuncanWilliams

October 2003 - June 2013

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Technical Analyst ~ Investment Management Consulting Group at

Morgan Keegan

June 2002 - October 2003

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Senior Relationship Specialist ~ Schwab Private Client at

Charles Schwab

March 2000 - June 2002

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Brad Ziemba

Education

University of Notre Dame - Mendoza College of Business, Master Of Business Administration (Mba)

January 2013 - January 2015

University of Memphis, Bachelor Of Business Administration (B.B.A.)

January 1993 - January 1997

Frequently Asked Questions about Brad Ziemba

What is Brad Ziemba email address?

Brad Ziemba's primary email address is *******@elementumadvisors.com. To view the full verified email and additional contact details, sign up for free with Muraena.

What company does Brad Ziemba work for?

Brad Ziemba is a Chief Compliance Officer at Finalis.

Where Brad Ziemba graduated from?

Brad Ziemba holds a degree in from University of Notre Dame - Mendoza College of Business.

How can I directly contact Brad Ziemba?

To contact Brad Ziemba directly, you can use the email address *******@elementumadvisors.com. Complete contact information is available upon registration with Muraena.

Who is Brad Ziemba?

Brad Ziemba is a seasoned Chief Compliance Officer with over 25 years of experience in financial services, specializing in regulatory compliance and risk management. Based in Honolulu, Hawaii, he has a proven track record of leading compliance programs within the frameworks of FINRA and SEC. His leadership at Finalis has been pivotal in scaling the organization significantly, overseeing compliance for a rapidly growing broker-dealer. Brad's expertise encompasses complex project management, negotiation, and strategic thinking, with a strong emphasis on fostering relationships with regulatory stakeholders. An advocate for quality and accuracy, he is committed to developing innovative compliance solutions that meet evolving regulatory standards. His educational background includes an MBA from the University of Notre Dame and a BBA in Finance from The University of Memphis. Brad's professional journey reflects a dedication to excellence in the financial services sector, making him a trusted leader in compliance and risk assessment.

Brad`s contact details

mail

*******@elementumadvisors.com

****@finalis.com

**********@netzero.com

Colleagues

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Federico Baradello

Founder & CEO

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Demian Entrekin

Chief Technology Officer

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Harold Lea

Board Member, Finance and Strategy Advisor

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