David EF Lodike is responsible for compliance risk management at Edward Jones in St. Louis, Mo. David focuses on identifying and measuring regulatory risks, applying lessons from industry enforcement and regulatory trends, and coordinating internal investigations. David joined Edward Jones in 2009 as the department leader of Capital Markets and Operations Compliance.
David was responsible for establishing and maintaining effective supervisory controls in BD Operations, Trading, Research, Product Review, and Investment Banking. Through this role, David also established a Trade and Market Surveillance team which is responsible for monitoring client and associate trade activity to identify and investigate possible manipulative trading practices, and for surveillance of the firm’s information barriers.
David entered the securities industry in 1984 when he joined A.G. Edwards & Sons, Inc. in St. Louis, MO. He served 24 years with A.G. Edwards, holding the position of Sr. Vice President and Compliance Sales Practices Manager, until the firm was acquired by Wachovia Securities in 2007. David continued his employment with Wachovia Securities in the capacity of Sr. Vice President and Chief Compliance Officer responsible for the firm’s registrations and employee activities departments until December 2008. David is a member of the SIFMA AML & Financial Crimes Committee, the National Society of Compliance Professionals (NSCP), and the Securities Industry Continuing Education Program Content Committee.
David holds several securities registrations including the Series 7, 8, 14, 24, 65 and 79. David earned his J.D. from Saint Louis University School of Law, and graduated from Webster University, with a degree in accounting and business management.