Compliance & Risk Executive for Financial Services

BENJAMIN F. WEIHRICH

Williamsville,716-***-****

NY 14221 ********@*****.***

https://www.linkedin.com/in/benjamin-weihrich-5048a012/ PROFESSIONAL OVERVIEW

Experienced executive with over 20 years in financial services, specializing in risk management, compliance, and operational oversight. Proven ability to lead compliance initiatives, conduct internal audits, and implement risk mitigation strategies across global teams. Skilled in ensuring regulatory adherence, managing complex trade compliance issues, and driving operational efficiencies. Having held senior roles at Citigroup and Landmark Wealth Management, I excel in identifying and mitigating risks, enforcing compliance policies, and collaborating with cross-functional teams to maintain a culture of compliance. CORE COMPETENCIES

● Regulatory Compliance & Risk Mitigation: Ensuring adherence to SEC, FINRA, and firm policies.

● Audit & Surveillance: Monitoring trade activities, identifying violations, and enforcing compliance measures.

● Governance & Internal Controls: Developing and implementing protocols to prevent compliance breaches.

● Investigations & Policy Enforcement: Conducting in-depth reviews and adjudicating policy dispensations.

● Cross-Functional Leadership: Collaborating with HR, Legal, and Audit teams on compliance initiatives. PROFESSIONAL EXPERIENCE

Landmark Wealth Management Getzville, NY

Vice President of Advisory Services, Chief Compliance Officer April 2024 – April 2025

● Coordinated the firm’s SEC compliance requirements and consulting with attorneys, SEC regulators, and firm auditors to comply with industry best practices.

● Served on the firm’s Investment Committee, which reviewed and approved investment vehicles suitable for client portfolios.

● Coordinated client relationships, meetings, preparation of meeting materials, and worked in conjunction with internal and external advisors to provide comprehensive advice and planning.

● Prepared client financial plans, projections, portfolio allocations, and other wealth management deliverables, in collaboration with Managing Partners, to assist clients in reaching their financial plans. Citigroup Getzville, NY

Vice President, Senior Compliance Analyst and Team Lead April 2010 – April 2024

● Maintained Personal Trading Department’s policies and procedures as applicable to Citigroup’s 28,000 North American employees. Responded to employee inquiries, concerns, and trade preclearance requests on a telephone hotline and group mailbox. Reviewed and determined policy breach activity and issued discipline in conjunction with HR partners.

● Lead Auditor and Quality Control Analyst for team. Completed reviews of analysts’ work and advised on corrections accordingly. Organized group training sessions based on results of work review.

● Lead Trainer for the team, training all new analysts on all departmental processes and procedures. Led a larger Personal Trading and Outside Activities (PTOA) team in identifying cross-functional team issues, and created and executed cross-functional team training programs.

● Lead Trainer for the global compliance teams. Established a globalized, consistent PTOA process and procedure structure.

● Managed a team of analysts, providing exceptional client service to Citigroup’s North American employees through dedicated hotline and group email box.

● Reviewed and analyzed daily surveillance reports related to the firm, employee, and client trading. Identified potential policy violations for escalation to management, legal, and other compliance personnel Page 1

BENJAMIN F. WEIHRICH

Williamsville,716-***-****

NY 14221 ********@*****.***

https://www.linkedin.com/in/benjamin-weihrich-5048a012/

● Identified and implemented compliance process improvements, streamlining audit readiness and risk controls.

Manning & Napier Information Services Buffalo, NY

Client Service Specialist June 2009 – April 2010

● Met with clients to install employee benefits management tools and programs.

● Trained client administrators on benefit software and provided guidance in resolving client issues.

● Completed implementation projects with a high level of data integrity promptly.

● Enrolled participating companies’ employees in benefit plans and provided follow up after enrollment. MetLife Financial Tampa, FL

Replacement Analyst - Compliance April 2008- June 2009

● Reviewed suitability of insurance replacements on new business cases to ensure compliance with FINRA, state-specific insurance requirements, company guidelines, and the customer’s best interest.

● Worked independently to identify potentially unsuitable sales and provided alternatives, when appropriate.

● Provided guidance to clients regarding products and procedures. MetLife Financial Buffalo, NY

Financial Services Representative June 2001- Dec 2007

• Developed a client base of over 300 relationships, $100mm in assets. Established a great rapport with each client.

• Committed to helping clients achieve their financial goals using MetLife products and services.

• Worked on MetLife’s hotline, fielding incoming client calls. Gave sales proposal presentations to clients regularly.

PROFESSIONAL LICENSES & CERTIFICATIONS

● FINRA Series 6, 63, & Series 26 Licenses -sponsorship required

● Member of the National Association of Insurance and Financial Advisors (NAIFA)

● Accredited Investment Fiduciary (AIF) Designation

● Investments and Wealth Institute Financial Advisor Certification EDUCATION & TRAINING

Saint John Fisher College Rochester, NY

Bachelor of Arts: Business Management/Finance, Minor: Economics College Athlete - Basketball

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