Compliance Director

Kristopher Heig

LAVISTA, NE 402-***-**** ********@*******.***

COMPLIANCE RISK FINANCIAL SERVICES

Detail-oriented Compliance Manager offering 27 years of expertise in risk management, policy development and strategic planning. Advanced knowledge of regulatory compliance with proven track record of partnering with independent RIAs and business leaders to identify vulnerabilities and create corrective actions. Collaborative and team-oriented with excellent communication and interpersonal skills to foster strategic partnerships and promote company reputation.

WORK HISTORY

COMPLIANCE SOLUTIONS MANAGER

Amplify Technology Scottsdale, AZ

01-2024 – 03-2025

Reviewed and approved marketing materials and social media posts, ensuring compliance with regulatory requirements.

Reviewed and approved strategy performance attestations from third party money managers for compliance with SEC Marketing Rule.

Developed and maintained relationships with partner firms to identify compliance needs for supervision and automation of processes.

Created an ADV Dashboard to simplify filing process for independent RIAs.

COMPLIANCE DIRECTOR

Orion Advisor Solutions Omaha, NE

04-2018 – 09-2023

Managed the Compliance application distributed to 2600+ RIA offices, enhancing compliance adherence and automating parts of their supervision efforts.

Led a squad of seven, including developers, testers, designers and service members, in developing an employee trade monitoring system, an ADV and 13f data tracking dashboards.

Performed sales demos and training for the Compliance application to prospective and current clients.

Monitored internal employee trading activities, OBA’s and political contributions.

Developed and maintained relationships with internal and external stakeholders to ensure compliance with applicable laws and regulations.

COMPLIANCE MANAGER

Carson Wealth Management Group Omaha, NE

10-2015 – 04-2018

Managed the development and implementation of compliance policies and procedures, ensuring compliance with local, state, and federal regulations, reducing compliance violations.

Developed and maintained a risk-based audit program, ensuring adherence to internal, external, and regulatory requirements.

Conducted compliance risk assessments and provided guidance on compliance-related issues, identifying and mitigating potential risks, enhancing compliance performance.

Established and maintained strong relationships with external stakeholders.

Reviewed and approved Marketing products and Social Media posts to ensure compliance with regulatory requirements and internal policies.

DIVISIONAL OPERATIONS MANAGER

TD Ameritrade Omaha, NE

02-1998 – 06-2015

Offsite supervision of internal branch locations.

Participated in internal and external investigations into policies and procedures enforcement.

Direct Supervisor of Compliance Team and provided principal review and sign-off of all correspondence generated by Compliance Inquiry Analysts.

Worked directly with the SEC and FINRA covering branch audits and procedures for improvements.

Generated monthly reports to identify trends and abnormal situations with client complaints and all workflow through Compliance Operations.

Facilitated communication between various levels and areas of business and compliance relating to the management of risk and resolution of issues.

Assisted in the complete rewrite of the Desktop and Written Supervisory Procedures.

SKILLS

Compliance Leadership, Compliance Strategies, Compliance Policies and Procedures

Team Development, Relationship Building

Fintech, Audit, Offsite Supervision

Project Manager, Product Owner

Employee Compliance Reporting, Cross Team Development

FINRA LICENSES

Registered Representative, Series 7 license – April 1998

Uniform Combined State Law, Series 66 license – August 2007

General Securities Principal, Series 24 license – November 2000 (expired)

EDUCATION

UNIVERSITY OF NEBRASKA - OMAHA

BACHELOR'S DEGREE – BUSINESS ADMINISTRATION

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