Chief Compliance & AML Officer
Bankers Life Securities, Inc.
Alberta Roberts is the Executive Representative and Chief Compliance and AML Officer (“CCO”) of the firms she represent. Ms. Roberts is responsible for the management and oversight of the compliance programs of the broker dealer and Registered Investment Adviser (“Firms”). This includes: advising and directing senior management and staff on all issues concerning compliance rules, regulations and procedures relating to the operation of the Firms; designing and conducting annual compliance reviews, developing and maintaining effective controls and monitoring systems, and conducting periodic legal and regulatory risk assessments; oversight of the compliance monitoring activities for the Firms, including day-to-day controls and oversight, as well as the broker-dealer and RIA compliance risk assessment process, due diligence reviews, registered representative/investment adviser representative training, agency inquiries and/or customer complaints; AML compliance; communicating the discovery of any non-compliance to the President and other members of senior management, with escalation to the Board as necessary; developing a framework for identifying and addressing regulatory issues and recommending appropriate steps to address them; and supervising the review and approval of all advertising and marketing materials related to the Firms. Mrs. Roberts have over 30 years of compliance and regulatory experience and holds the Series 7, 24, 28, 53, 66 and 99 registrations as well as Insurance licenses for life and health.