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Jason Wilson
Compliance Analyst
Contact Info
Email Address:
Direct Line: (636) 695 - 2823
Extension: 1223

Job Description:

  • Compliance reviews including advertising, correspondence, seminars, sales literature, Web/Social Media activity and outside account statements
  • Review/approve transactions pertaining to Brokerage, Direct Mutual fund accounts
  • Manage annual anti-money laundering audit, firm-wide cyber-training program, and annual compliance attestations/Outside Business Disclosures
  • Supervise brokerage account distributions
  • Review annuity vendor contracts and other vendor contracts
  • Conduct field audits of branch offices