Chief Compliance Officer WealthBridge Financial Group
Julie is a highly skilled and experienced compliance professional who has made significant contributions to our organization's success. She is responsible for ensuring that our organization adheres to all industry and government regulations, as well as Home Office-established guidelines.
Julie maintains meticulous documentation of compliance activities, such as complaints, audits, and training requirements, and regularly reviews all advertising materials, correspondence, and direct business suitability reviews and approvals. She is a confidential point of contact for representatives seeking clarification on compliance-related issues or dilemmas and is always available to provide guidance and support.
In addition to her primary responsibilities, Julie also disseminates written policies and procedures related to compliance activities throughout the organization, ensuring that everyone is aware of their roles and responsibilities. She assists internal and external auditors and conducts branch office examinations to identify potential compliance issues and provide timely and constructive feedback in an unbiased environment.
Overall, Julie's dedication to compliance and her meticulous attention to detail have made her an invaluable member of our team. Her commitment to excellence ensures that our organization operates with integrity and remains compliant with all regulatory requirements.