Vicki Reighard-Kean

Vicki Reighard-Kean

No headline available | Cedar Rapids, Iowa, United States

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Work Experience

TRANSAMERICA RETIREMENT ADVISORS, LLC

Lead Compliance Analyst

2019-01-01 — Present

Transamerica Financial Advisors, Inc.

Lead Compliance Officer

2016-06-01 — 2019-01-01

Berthel Fisher & Company Financial Services, Inc.

Chief Compliance Officer / Vice President of Rep Resources

2014-06-01 — 2016-03-01

Securities Management & Research, Inc.

Chief Compliance Officer / Vice President of Rep Resources

2012-04-01 — 2016-03-01

Berthel Fisher & Company Financial Services

Chief Compliance Officer

2011-04-01 — 2016-03-01

Berthel Fisher & Company Financial Services

OSJ Regional Manager

2009-11-01 — 2011-04-01

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Regulatory Compliance Professional

— Present

Skills

enterprise compliance risk management compliance operational risk management capital markets & investment banking compliance investment advisory compliance financial services anticorruption ethics research supervisory analyst expert witness service financial operational principal services

Languages

English