Deb Hansen
Compliance professional with over 10 years of experience financial services industry; Effectively works with business partners to balance business needs against compliance and risk requirements in support of achievement in business and regulatory goals; Skilled in investment management compliance, investment advisor compliance, broker-dealer compliance, risk management, , Code of Ethics, Privacy, Cyber Security, and Anti-Money Laundering, including the management of compliance programs, monitoring, oversight and testing; Successfully managed multiple internal and external regulatory examinations; Demonstrated ability to multitask and manage multiple priorities independently. Licenses include Series 7, 24, 63, and 65 licenses; Designations include Certified Regulatory and Compliance Professional (CRCP) ®
4d. BD LAB – Modernizing Records Management: One Year Later (Advanced - CLOSED)