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Bill is the Executive Vice-President, Director of Regulatory & Oversight Services and serves as the Chief Compliance Officer at Benjamin F. Edwards. His primary responsibilities include overseeing the firm’s compliance, supervision, and examination programs. He governs the firm’s written supervisory procedures, retail communications and branch office inspections for compliance with industry regulations.

Bill was instrumental in establishing the firm’s compliance curriculum and continues to develop risk management practices as the industry evolves. He is uniquely positioned to offer insight in these critical areas, having spent more than 30 years in the financial services industry.

Bill is a graduate of Webster University with a Bachelor of Arts degree in Education and Music. He holds numerous registrations, is a recipient of the FINRA Institute/Wharton School Certified Regulatory & Compliance Professional (CRCP) designation, and serves as a member of the Municipal Securities Rulemaking Board (MSRB) Professional Qualifications Advisory Committee.

Bill is a musician and enjoys woodworking.  Had he not pursued a career in financial services, you most likely would find him teaching music. In his free time, he enjoys spending time with his wife, four children and two grandchildren.

Learn more about Regulatory and Oversight Services.

April 23, 2015 |