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Brad Ziemba
Brad Ziemba
Chief Compliance Officer | Finalis
Honolulu, Hawaii, United States
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.
Brad Ziemba
Work Experience
Chief Compliance Officer at
Finalis
July 2021 - Present
Chief Compliance Officer at
Cabrera Capital Markets LLC
February 2018 - July 2021
Deputy Chief Compliance Officer at
Elementum (Bermuda) Ltd.
May 2016 - February 2018
VP, Compliance Officer Fixed Income Capital Markets at
Spb Limited Partnership
June 2013 - May 2016
Chief Compliance Officer at
SouthState | DuncanWilliams
October 2003 - June 2013
Technical Analyst ~ Investment Management Consulting Group at
Morgan Keegan
June 2002 - October 2003
Senior Relationship Specialist ~ Schwab Private Client at
Charles Schwab
March 2000 - June 2002
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
*******@elementumadvisors.com
****@finalis.com
**********@netzero.com
Colleagues
COO & GC
Founder & CEO
Chief Technology Officer
Board Member, Finance and Strategy Advisor