Ashley Smith-Roos, IACCP®

Senior Compliance Associate at Wilshire
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Contact Information
us****@****om
(386) 825-5501
Location
Hawthorne, California, United States, US

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Credentials

  • Investment Adviser Certified Compliance Professional IACCP®
    NRS
    Jan, 2023
    - Nov, 2024
  • Series 65
    Financial Industry Regulatory Authority (FINRA)

Experience

  • Wilshire
    • United States
    • Financial Services
    • 200 - 300 Employee
    • Senior Compliance Associate
      • Dec 2022 - Present

    • Compliance Associate
      • Aug 2020 - Dec 2022

  • Advanced Regulatory Compliance LLC (now part of ACA Group)
    • United States
    • Financial Services
    • 1 - 100 Employee
    • Senior Compliance Consultant
      • Mar 2018 - Aug 2020

  • Churchill Management Group
    • United States
    • Investment Management
    • 1 - 100 Employee
    • Relationship Associate
      • Feb 2016 - Mar 2018

  • Capital Group
    • United States
    • Financial Services
    • 700 & Above Employee
    • Marketing Associate
      • Jun 2010 - Jun 2011

    • Senior Account Representative
      • Sep 2009 - Jun 2010

    • Account Service Representative
      • Nov 2007 - Sep 2009

Education

  • UC Irvine
    Bachelor's degree, Sociology

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