Jake Travis
Director of Compliance and Supervison at RFG Advisory- Claim this Profile
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Topline Score
Bio
Credentials
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Series 24
Financial Industry Regulatory Authority (FINRA) -
Series 52
FINRA -
Series 53
FINRA -
Series 63
Financial Industry Regulatory Authority (FINRA) -
Series 65
FINRA -
Series 7
Financial Industry Regulatory Authority (FINRA)
Experience
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RFG Advisory
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United States
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Financial Services
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1 - 100 Employee
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Director of Compliance and Supervison
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Aug 2022 - Present
• Oversight of investment advisory and retirement plan activity of independent dually-registered and IAR-only advisors. • Supervision of all Advisors acting as client portfolio manager. • Review RIA and BD related marketing materials, external communications, and other promotional efforts on behalf of the firm and Advisors. • Conduct on site audits of Branch Offices for conformity with policies and procedures. • Oversight of investment advisory and retirement plan activity of independent dually-registered and IAR-only advisors. • Supervision of all Advisors acting as client portfolio manager. • Review RIA and BD related marketing materials, external communications, and other promotional efforts on behalf of the firm and Advisors. • Conduct on site audits of Branch Offices for conformity with policies and procedures.
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Concourse Financial Group
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United States
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Financial Services
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1 - 100 Employee
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Surveillance Manager
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Jul 2021 - Jul 2022
• Managed team responsible for ongoing risk assessments and compliance reviews to ensure compliance policies and risk controls are operating appropriately.• Additionally, I served as the firm's main contact to ensure compliance with required cybersecurity changes and identified cybersecurity risks and coordinated with internal partners to resolve incidents.• Responsibilities also included implementing periodic phishing simulations and other cybersecurity related training.• Coordinated distribution and monitoring of Annual Compliance Questionnaire, Annual Compliance Meeting and Firm Element Training. Show less
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Branch Auditor
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Jul 2017 - Jul 2021
• Conducted on-site and virtual branch audits for approximately 60+ branches/ 120+ Registered Representatives annually.• Prepared summary reports indicating findings and corrective actions.• Ongoing oversight of branch office conformities with firm policies, procedures, and regulatory rules.• Provided training on new policies and technology. • Conducted high-risk and for-cause audits. • 50% travel.
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Surveillance Officer
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Feb 2016 - Jul 2017
• Identify trends in trade reporting systems to detect potential regulatory violations.• Responsible for overseeing compliance with firm's Code of Ethics
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Brokerage Representative
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Jul 2013 - Feb 2016
• Equity, mutual fund, bond, UIT trading. • Perform account maintenance and asset movement requests. • Provided technical assistance to clients regarding website issues. • Equity, mutual fund, bond, UIT trading. • Perform account maintenance and asset movement requests. • Provided technical assistance to clients regarding website issues.
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Renasant Bank
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United States
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Banking
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700 & Above Employee
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Loan Coordinator
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Sep 2012 - Jul 2013
• Reviewed loan origination documents for completeness and accuracy. • Monitored credit inquiries for applicants during underwriting phase. • Performed occupation and income verifications on loan applicants. • Reviewed loan origination documents for completeness and accuracy. • Monitored credit inquiries for applicants during underwriting phase. • Performed occupation and income verifications on loan applicants.
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Education
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2008 - 2012
University of Alabama
Bachelor of Science (BS), Finance -
The University of Alabama
Finance
Community
