Operations Manager Chief Compliance

RYAN DISSELHORST

*** ********** *****, ******** ****, CA 91320 805-***-**** ****.***********@*****.*** Objective: Looking for my next challenge in the financial services industry. Summary of Qualifications:

● Ten+ years of experience in the financial services environment.

● Holds FINRA series 7 and 24 licenses, and a series 66 license from the NASAA.

● Dedicated to providing a superb representative, advisor, and client experience. Experience:

Alliance Advisory & Securities, LLC, Westlake Village, CA Jan 2020-Sept 2022 Operations & Compliance

● Report directly to Chief Operating Officer and Chief Compliance Officer of the firm.

● Reg BI and Form CRS creation and implementation at the firm.

● Process subscription agreements for proprietary Alternative Investment and Private Offerings.

● Processing all trade requests for the firm, including non-discretionary requests and discretionary account model allocating, rebalancing, and maintenance.

● Client verification, risk, OFAC, and compliance documentation.

● Provide direct support for all paraplanners and junior and senior advisors of the firm through account monitoring and maintenance, report production and troubleshooting, and assisting with client requests.

● Advyzon Platform operation and maintenance of CRM database. Mutual Securities Inc. and Mutual Advisors LLC, Camarillo, CA. May 2014-Jan 2020 Operations Manager

● Oversee daily operations for all departments of the broker dealer.

● Manage relationship between broker dealer and our clearing firm.

● Principal review of, and principal signature on account applications.

● Principal review of all cashiering items, incoming and outgoing checks, eft, and bank wires.

● Anti-money laundering and client verification.

Financial West Group, Westlake Village, CA. December 2011-May 2014 Operations

● Establish new accounts for the broker dealer, processed TOAs and Alternative Investment requests. Education:

B.S. Degree in Business Marketing, December 2008 California Lutheran University, Thousand Oaks, CA. Activities:

● Children’s ministry director and Elder at Skyline Church in Thousand Oaks, CA. Aug 2012-Aug 2017

● Storyteller, group leader for Anthem Kids at Anthem Church, Thousand Oaks, CA. Oct 2017-present