National Society of Compliance Professionals
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National Society of Compliance Professionals Employees
Employee
Years
Job
Industry
Kit Addleman Kit Addleman's National Society of Compliance Professionals Experience October 2010 - November 2013
Job Haynes and Boone partner specializing in white collar defense, specifically SEC enforcement, and securities compliance
Industry Law Practice
Experience
Haynes and Boone, LLP November 2009 - Present
Girl Scouts of Northeast Texas March 2010 - Present
National Society of Compliance Professionals October 2010 - November 2013
US Securities and Exchange Commission 1986 - 2009
Skills
Securities Regulation, SEC Investigations..., Corporate Compliance, Broker-Dealer Compliance, Investment Fund..., Investment Adviser...
Education
Oklahoma City University School of Law 1983 — 1986
JD
Wake Forest University 1979 — 1983
BA, Politics
Haynes and Boone, LLP November 2009 - Present
Girl Scouts of Northeast Texas March 2010 - Present
National Society of Compliance Professionals October 2010 - November 2013
US Securities and Exchange Commission 1986 - 2009
Skills
Securities Regulation, SEC Investigations..., Corporate Compliance, Broker-Dealer Compliance, Investment Fund..., Investment Adviser...
Education
Oklahoma City University School of Law 1983 — 1986
JD
Wake Forest University 1979 — 1983
BA, Politics
Sarah Callaway Sarah Callaway's National Society of Compliance Professionals Experience 2004 - Present
Job Public Communications and Graphic Design Manager @ NSCP
Industry Nonprofit Organization Management
Experience
National Society of Compliance Professionals 2004 - Present
DC Design + Consulting, Inc.(Defunct) March 2003 - January 2004
A.T. Publishing May 2002 - March 2003
Anchorage Publishing, Inc. May 1997 - September 2001
Skills
Branding & Identity, Collateral, Banner Ads, Direct Mail Campaigns, Newsletters, Creative Services, Direct Mail, Corporate Branding, Adobe Acrobat, Marketing Copy, Email Marketing, Publications, CMYK, Art Direction, Logo Design, Online Marketing, InDesign, Graphics, Layout, Non-profits, Blogging, Magazines, Investments, Web Design, Pre-press, Adobe Creative Suite, Social Media Marketing, Advertising, Packaging, Marketing Strategy, Graphic Design, Corporate Communications, Marketing Communications, Trade Shows, Securities, Integrated Marketing, Marketing, Series 7, Hedge Funds, Nonprofits, Mutual Funds, Investment Advisory
Education
University of Arizona 1992 — 1996
BA, Studio Arts with emphasis on Graphic Design
Service High School 1988 — 1992
Diploma
National Society of Compliance Professionals 2004 - Present
DC Design + Consulting, Inc.(Defunct) March 2003 - January 2004
A.T. Publishing May 2002 - March 2003
Anchorage Publishing, Inc. May 1997 - September 2001
Skills
Branding & Identity, Collateral, Banner Ads, Direct Mail Campaigns, Newsletters, Creative Services, Direct Mail, Corporate Branding, Adobe Acrobat, Marketing Copy, Email Marketing, Publications, CMYK, Art Direction, Logo Design, Online Marketing, InDesign, Graphics, Layout, Non-profits, Blogging, Magazines, Investments, Web Design, Pre-press, Adobe Creative Suite, Social Media Marketing, Advertising, Packaging, Marketing Strategy, Graphic Design, Corporate Communications, Marketing Communications, Trade Shows, Securities, Integrated Marketing, Marketing, Series 7, Hedge Funds, Nonprofits, Mutual Funds, Investment Advisory
Education
University of Arizona 1992 — 1996
BA, Studio Arts with emphasis on Graphic Design
Service High School 1988 — 1992
Diploma
Tim Simons Tim Simons's National Society of Compliance Professionals Experience 2004 - 2011
Job Senior Managing Member at Focus 1 Associates LLC
Industry Financial Services
Experience
Focus 1 Associates LLC July 2010 - Present
National Society of Compliance Professionals 2004 - 2011
Ashland Compliance Group LLC January 2005 - July 2010
Ashland Partners and Company LLP July 2000 - June 2010
US Securities and Exchange Commission May 1988 - June 2000
Education
George Mason University - School of Business 1983 — 1987
MBA, Finance, Accounting
Rutgers University-New Brunswick 1964 — 1968
BS, Engineering
Focus 1 Associates LLC July 2010 - Present
National Society of Compliance Professionals 2004 - 2011
Ashland Compliance Group LLC January 2005 - July 2010
Ashland Partners and Company LLP July 2000 - June 2010
US Securities and Exchange Commission May 1988 - June 2000
Education
George Mason University - School of Business 1983 — 1987
MBA, Finance, Accounting
Rutgers University-New Brunswick 1964 — 1968
BS, Engineering
Henry Hank Sanchez Henry Hank Sanchez's National Society of Compliance Professionals Experience 2003 - 2006
Job Managing Director at Oyster Consulting, LLC
Industry Financial Services
Experience
Oyster Consulting, LLC September 2010 - Present
LPL Financial July 2009 - July 2010
UVEST Financial Services July 2009 - July 2010
LPL Financial May 2006 - July 2009
TIAA-CREF 2004 - 2006
National Society of Compliance Professionals 2003 - 2006
High Mark Financial Services January 2003 - 2004
Reed Smith LLP 2001 - December 2002
NASD May 1993 - October 2001
Page & Bacek 1991 - 1993
Skills
Securities, Compliance, FINRA, Securities Law, Investment Advisory, Securities Regulation, Licensing, Mutual Funds, Risk Management, Arbitration, Expert Witness, Regulatory Requirements, Broker-Dealer, Enforcement Actions, SEC, Series 24, Hedge Funds, Investments, Series 7, Wealth Management, Insurance, Financial Risk, Alternative Investments, Equities, Financial Services, AML, Risk Assessment, Corporate Governance, Asset Management, ETFs, Options, Series 63, Equity Trading, Series 65, Management, Fixed Income, Regulations, KYC, Fraud, Uniform Combined State..., Due Diligence, Private Equity, Strategy, Financial Regulation, Financial Advisory, Private Placements, 401k
Education
NASD/Wharton Institute 2003 — 2006
Certified Regulatory and Compliance Professional
Georgetown University Law Center 1985 — 1988
LLM
Rutgers University School of Law - Newark 1981 — 1984
JD
Stockton University 1974 — 1977
BA
Oyster Consulting, LLC September 2010 - Present
LPL Financial July 2009 - July 2010
UVEST Financial Services July 2009 - July 2010
LPL Financial May 2006 - July 2009
TIAA-CREF 2004 - 2006
National Society of Compliance Professionals 2003 - 2006
High Mark Financial Services January 2003 - 2004
Reed Smith LLP 2001 - December 2002
NASD May 1993 - October 2001
Page & Bacek 1991 - 1993
Skills
Securities, Compliance, FINRA, Securities Law, Investment Advisory, Securities Regulation, Licensing, Mutual Funds, Risk Management, Arbitration, Expert Witness, Regulatory Requirements, Broker-Dealer, Enforcement Actions, SEC, Series 24, Hedge Funds, Investments, Series 7, Wealth Management, Insurance, Financial Risk, Alternative Investments, Equities, Financial Services, AML, Risk Assessment, Corporate Governance, Asset Management, ETFs, Options, Series 63, Equity Trading, Series 65, Management, Fixed Income, Regulations, KYC, Fraud, Uniform Combined State..., Due Diligence, Private Equity, Strategy, Financial Regulation, Financial Advisory, Private Placements, 401k
Education
NASD/Wharton Institute 2003 — 2006
Certified Regulatory and Compliance Professional
Georgetown University Law Center 1985 — 1988
LLM
Rutgers University School of Law - Newark 1981 — 1984
JD
Stockton University 1974 — 1977
BA
Michelle Canela, MSL, CSCP®'s National Society of Compliance Professionals Experience October 2014 - Present
Job Senior Compliance Manager
Industry Investment Management
Experience
INTECH Investment Management LLC December 2002 - Present
National Society of Compliance Professionals October 2014 - Present
Ryan Beck & Co. (currently Stifel Nicolaus) August 1999 - September 2002
Skills
Securities Regulation, Mutual Funds, Investment Management, Asset Management, Investments, Series 7, Hedge Funds, FINRA, Corporate Governance, Equities, Microsoft Office, Asset Managment, Financial Services, Securities, Microsoft Excel, Access, Investment Advisers Act, Investment Company Act, 1940 Act, Compliance Regulations, Compliance Oversight, SEC regulations, General Securities..., 63 Licenses, Charles River IMS, Salesforce.com, Registered Investment..., RIAs, Quantitative Investing, Compliance Officers, Compliance Monitoring, Regulatory Requirements, Compliance Program..., Internal Audit, Compliance Analysis, Risk Management
Education
California Southern University 2008 — 2012
Master of Science Degree, Law
University of South Florida - College of Business Administration 1996 — 1999
Bachelor of Arts, Finance
INTECH Investment Management LLC December 2002 - Present
National Society of Compliance Professionals October 2014 - Present
Ryan Beck & Co. (currently Stifel Nicolaus) August 1999 - September 2002
Skills
Securities Regulation, Mutual Funds, Investment Management, Asset Management, Investments, Series 7, Hedge Funds, FINRA, Corporate Governance, Equities, Microsoft Office, Asset Managment, Financial Services, Securities, Microsoft Excel, Access, Investment Advisers Act, Investment Company Act, 1940 Act, Compliance Regulations, Compliance Oversight, SEC regulations, General Securities..., 63 Licenses, Charles River IMS, Salesforce.com, Registered Investment..., RIAs, Quantitative Investing, Compliance Officers, Compliance Monitoring, Regulatory Requirements, Compliance Program..., Internal Audit, Compliance Analysis, Risk Management
Education
California Southern University 2008 — 2012
Master of Science Degree, Law
University of South Florida - College of Business Administration 1996 — 1999
Bachelor of Arts, Finance
Lisa Crossley's National Society of Compliance Professionals Experience June 2015 - Present
Job Executive Director at National Society of Compliance Professionals
Industry Financial Services
Experience
National Society of Compliance Professionals June 2015 - Present
National Society of Compliance Professionals April 2012 - Present
National Society of Compliance Professionals July 2010 - May 2012
Spectrum Asset Management, Inc 2004 - 2009
Nuveen Investments 1998 - 2004
Calvert Group 1990 - 1998
Skills
Administrative Law, FINRA, Securities, Securities Regulation, Mutual Funds, Investment Advisory, AML, SEC, Investment Company Act, Series 24, Series 7, Investment Advisers Act, Hedge Funds, OFAC, Investments, Series 63, Financial Services, Broker-Dealer, USA PATRIOT Act, KYC, Alternative Investments, Fixed Income, Corporate Governance, Asset Management, Legal Compliance, Private Equity, Investment Advisor..., Regulations, Financial Regulation, Broker-Dealer Compliance, Investment Management, FCPA, Risk Management, Due Diligence, Privacy Law, Financial Risk, Series 65
Education
The Catholic University of America 1989 — 1993
JD
University of Vermont 1980 — 1984
BA, Political Science
National Society of Compliance Professionals June 2015 - Present
National Society of Compliance Professionals April 2012 - Present
National Society of Compliance Professionals July 2010 - May 2012
Spectrum Asset Management, Inc 2004 - 2009
Nuveen Investments 1998 - 2004
Calvert Group 1990 - 1998
Skills
Administrative Law, FINRA, Securities, Securities Regulation, Mutual Funds, Investment Advisory, AML, SEC, Investment Company Act, Series 24, Series 7, Investment Advisers Act, Hedge Funds, OFAC, Investments, Series 63, Financial Services, Broker-Dealer, USA PATRIOT Act, KYC, Alternative Investments, Fixed Income, Corporate Governance, Asset Management, Legal Compliance, Private Equity, Investment Advisor..., Regulations, Financial Regulation, Broker-Dealer Compliance, Investment Management, FCPA, Risk Management, Due Diligence, Privacy Law, Financial Risk, Series 65
Education
The Catholic University of America 1989 — 1993
JD
University of Vermont 1980 — 1984
BA, Political Science
Liza Wentworth's National Society of Compliance Professionals Experience September 2003 - December 2012
Job WMIA Program Administrator
Industry Nonprofit Organization Management
Experience
WMIA September 2013 - Present
National Society of Compliance Professionals September 2003 - December 2012
Excel Partnership November 1999 - September 2003
Nordstrom 1996 - 1999
Skills
Registration, Risk Management, Meeting Planning, Venue Relations, Event Management, Securities Regulation, Event Planning, Trade Shows, Association Management, Location Intelligence, Adult Learning Theory, Adult Learning..., Contract Negotiation, Agenda Development, Committee Liaison, Association Meetings, Newsletters, Investments, Project Management, AML, Corporate Events, Sales, Management, FINRA, Investment Advisory, Entrepreneurship, Asset Management, Securities, Coordinating Events, Board Relations, Coaching, Sponsorship, Hedge Funds, Training, Wedding Planning, Hotels, Business Meetings, Incentives, Mutual Funds
Education
Intensive Japanese Language
N/A, Japanese
Seton Hall University
BA, Criminal Justice, Asian Studies
Morristown_Beard School
High School
WMIA September 2013 - Present
National Society of Compliance Professionals September 2003 - December 2012
Excel Partnership November 1999 - September 2003
Nordstrom 1996 - 1999
Skills
Registration, Risk Management, Meeting Planning, Venue Relations, Event Management, Securities Regulation, Event Planning, Trade Shows, Association Management, Location Intelligence, Adult Learning Theory, Adult Learning..., Contract Negotiation, Agenda Development, Committee Liaison, Association Meetings, Newsletters, Investments, Project Management, AML, Corporate Events, Sales, Management, FINRA, Investment Advisory, Entrepreneurship, Asset Management, Securities, Coordinating Events, Board Relations, Coaching, Sponsorship, Hedge Funds, Training, Wedding Planning, Hotels, Business Meetings, Incentives, Mutual Funds
Education
Intensive Japanese Language
N/A, Japanese
Seton Hall University
BA, Criminal Justice, Asian Studies
Morristown_Beard School
High School
Eric Cieplik's National Society of Compliance Professionals Experience April 2009 - June 2014
Job Advertising & Sales Professional
Industry Marketing and Advertising
Experience
Eric's Bait Shop June 2002 - Present
Eric's Bait Shop June 2002 - Present
National Society of Compliance Professionals April 2009 - June 2014
Dow Jones 1976 - 2003
Barron's June 1989 - June 2002
The Wall Street Journal May 1980 - 1989
Skills
Advertising, Sales, Advertising Sales, Financial Services, Trade Shows, Email Marketing, Marketing Strategy, Selling, Risk Management, Copywriting, Strategic Partnerships, Direct Marketing, Series 7, Account Management, Securities, Investments, Lead Generation, Investment Advisory, New Business Development, Online Marketing, Integrated Marketing, Strategy, Executive Management, Digital Marketing, CRM, Social Media Marketing, Online Advertising, Entrepreneurship, Social Networking, Business Development, Marketing, B2B, Start-ups, Marketing Communications, Product Management, Sales Management, Product Marketing, FINRA, Customer Retention, Newsletters, Leadership, Business Planning, Sales Presentations, SaaS, Brand Development, Sales Process, Venture Capital, Investment Management, Marketing Management
Education
University of Rhode Island 1971 — 1974
BA, Biology, Oceanography
Greenfield Community College 1964 — 1966
AA, Biology
Eric's Bait Shop June 2002 - Present
Eric's Bait Shop June 2002 - Present
National Society of Compliance Professionals April 2009 - June 2014
Dow Jones 1976 - 2003
Barron's June 1989 - June 2002
The Wall Street Journal May 1980 - 1989
Skills
Advertising, Sales, Advertising Sales, Financial Services, Trade Shows, Email Marketing, Marketing Strategy, Selling, Risk Management, Copywriting, Strategic Partnerships, Direct Marketing, Series 7, Account Management, Securities, Investments, Lead Generation, Investment Advisory, New Business Development, Online Marketing, Integrated Marketing, Strategy, Executive Management, Digital Marketing, CRM, Social Media Marketing, Online Advertising, Entrepreneurship, Social Networking, Business Development, Marketing, B2B, Start-ups, Marketing Communications, Product Management, Sales Management, Product Marketing, FINRA, Customer Retention, Newsletters, Leadership, Business Planning, Sales Presentations, SaaS, Brand Development, Sales Process, Venture Capital, Investment Management, Marketing Management
Education
University of Rhode Island 1971 — 1974
BA, Biology, Oceanography
Greenfield Community College 1964 — 1966
AA, Biology
Cindi Hill, CFP®, IACCP℠'s National Society of Compliance Professionals Experience 2009 - 2012
Job Compliance Outsource Professional
Industry Financial Services
Experience
Hill Compliance Advisors January 2007 - Present
San Diego Women's Foundation July 2011 - 2012
National Society of Compliance Professionals 2009 - 2012
Virtual Solutions for Advisors 2009 - 2012
ElderHelp of San Diego 2000 - 2012
NAPFA 2007 - August 2011
Cullington Hill Advisors July 2004 - December 2006
Blankinship & Foster 1997 - 2003
Skills
Compliance
Education
San Jose State University
BS, Business Administration (Finance)
Hill Compliance Advisors January 2007 - Present
San Diego Women's Foundation July 2011 - 2012
National Society of Compliance Professionals 2009 - 2012
Virtual Solutions for Advisors 2009 - 2012
ElderHelp of San Diego 2000 - 2012
NAPFA 2007 - August 2011
Cullington Hill Advisors July 2004 - December 2006
Blankinship & Foster 1997 - 2003
Skills
Compliance
Education
San Jose State University
BS, Business Administration (Finance)