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Msom James Clements Iaccp Aif
Msom James Clements Iaccp Aif
Chief Compliance Officer | Carson Group
Omaha, Nebraska, United States
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.
Msom James Clements Iaccp Aif
Work Experience
Chief Compliance Officer at
Carson Group
July 2020 - Present
VP, CCO and Risk Management at Ameritas Investment Com at
Ameritas
November 2018 - July 2020
VP, Fiduciary Services and Supervision at
Ameritas
March 2018 - October 2018
2nd VP, Supervision - AIC at
Ameritas
June 2017 - February 2018
Director, Advisory Compliance and Licensing/Registration at
Securities America Inc.
January 2014 - June 2017
Principal/Managing Director at
Hidden Valley Consulting
May 2012 - December 2013
SVP, Investment Advisory and Platform Services at
Cion Investment Corporation
December 2010 - February 2013
SVP, Business Development, Strategic Relationships and Financial Planning at
National Life Group
January 2009 - December 2010
Senior Vice President, Investment Advisory at
Jackson Financial Inc.
November 2007 - January 2009
PAS, SVP, Head of Advisory Services at
Guardian Life
January 2000 - November 2007
Senior Compliance Analyst at
Charles Schwab
January 1999 - January 2000
Deputy Director of Compliance at
Aigroyal Alliancesunamerica Sec
February 1997 - January 1999
Director of Compliance at
Lbs Capital Management, Inc.
January 1995 - January 1997
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
*********@ameritas.com
*********@carsongroup.com
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