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Msom James Clements Iaccp Aif

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Msom James Clements Iaccp Aif

Chief Compliance Officer | Carson Group

Omaha, Nebraska, United States

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Msom James Clements Iaccp Aif

Summary

Msom James Clements is a seasoned Chief Compliance Officer with extensive experience in regulatory compliance within the financial services sector. Currently leading the compliance team at Carson Group, he ensures adherence to FINRA and SEC regulations while supporting the firm's investment advisory entities. With a strong background in both compliance management and risk assessment, he has successfully navigated complex regulatory landscapes across various organizations. His previous roles have included leadership positions at Ameritas and Securities America, where he managed compliance departments and developed regulatory frameworks. An advocate for smooth compliance processes, he is dedicated to fostering a culture of excellence within his teams. Msom's educational background in Organizational Management and Political Science complements his professional expertise, providing a well-rounded perspective on compliance issues. He is known for his strategic approach and commitment to continuous improvement in compliance practices.

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Technical Background

Leadership Experience

Long-Term Tenure

Professional interests

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Organisational experience

Corporate Experience

Msom James Clements Iaccp Aif

Work Experience

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Chief Compliance Officer at

Carson Group

July 2020 - Present

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VP, CCO and Risk Management at Ameritas Investment Com at

Ameritas

November 2018 - July 2020

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VP, Fiduciary Services and Supervision at

Ameritas

March 2018 - October 2018

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2nd VP, Supervision - AIC at

Ameritas

June 2017 - February 2018

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Director, Advisory Compliance and Licensing/Registration at

Securities America Inc.

January 2014 - June 2017

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Principal/Managing Director at

Hidden Valley Consulting

May 2012 - December 2013

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SVP, Investment Advisory and Platform Services at

Cion Investment Corporation

December 2010 - February 2013

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SVP, Business Development, Strategic Relationships and Financial Planning at

National Life Group

January 2009 - December 2010

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Senior Vice President, Investment Advisory at

Jackson Financial Inc.

November 2007 - January 2009

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PAS, SVP, Head of Advisory Services at

Guardian Life

January 2000 - November 2007

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Senior Compliance Analyst at

Charles Schwab

January 1999 - January 2000

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Deputy Director of Compliance at

Aigroyal Alliancesunamerica Sec

February 1997 - January 1999

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Director of Compliance at

Lbs Capital Management, Inc.

January 1995 - January 1997

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Msom James Clements Iaccp Aif

Education

Wayne State College, Master Of Science, (Msom)

Frequently Asked Questions about Msom James Clements Iaccp Aif

What is Msom James Clements Iaccp Aif email address?

Msom James Clements Iaccp Aif's primary email address is *********@ameritas.com. To view the full verified email and additional contact details, sign up for free with Muraena.

What company does Msom James Clements Iaccp Aif work for?

Msom James Clements Iaccp Aif is a Chief Compliance Officer at Carson Group, a company specializing in Functions related to depository banking.

Where Msom James Clements Iaccp Aif graduated from?

Msom James Clements Iaccp Aif holds a degree in Organizational Management - Public Policy/Public Affairs from Wayne State College.

How can I directly contact Msom James Clements Iaccp Aif?

To contact Msom James Clements Iaccp Aif directly, you can use the email address *********@ameritas.com. Complete contact information is available upon registration with Muraena.

Who is Msom James Clements Iaccp Aif?

Msom James Clements is a seasoned Chief Compliance Officer with extensive experience in regulatory compliance within the financial services sector. Currently leading the compliance team at Carson Group, he ensures adherence to FINRA and SEC regulations while supporting the firm's investment advisory entities. With a strong background in both compliance management and risk assessment, he has successfully navigated complex regulatory landscapes across various organizations. His previous roles have included leadership positions at Ameritas and Securities America, where he managed compliance departments and developed regulatory frameworks. An advocate for smooth compliance processes, he is dedicated to fostering a culture of excellence within his teams. Msom's educational background in Organizational Management and Political Science complements his professional expertise, providing a well-rounded perspective on compliance issues. He is known for his strategic approach and commitment to continuous improvement in compliance practices.

Msom`s contact details

mail

*********@ameritas.com

*********@carsongroup.com

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