I don’t think too many people graduate from college thinking they want to go into compliance. This was true for me, too. As a young college graduate, I didn’t know much about the world of finance. For people who don’t know what compliance is, basically we are the folks whose job is to ensure that internal operations in a financial firm aligns with regulatory standards. Like most people in my line of work, you just sort of fall into it, which is what happened for me.
I was a neurobiology major at the University of Connecticut and I happened to graduate into a job market where there was a shortage of workers. While I had studied biology with the intention of going into physical therapy, once I was done with college, I wanted to take a break from school. I had put myself through college and just wanted a chance to make some money. My brother, who worked in finance, suggested I apply to a few financial firms. I applied to six firms and had six offers.
Working for big firms gave me access to lots of training and development. I started out on the operations and trading side, earning a series of licenses along the way. The supervisory licenses led the way to a compliance career. I gained experience in my chosen field at several national firms, including Citizens Financial Group, Commonwealth Financial Network, Fidelity, Smith Barney (now Morgan Stanley Wealth Management). In earlier years of my career, I’ve held positions in operations and trading, which led to Compliance positions including branch examiner, being responsible for internal compliance testing (essentially, auditing), and compliance for Investment Banking and Capital Markets. All this led to management positions.
A continuing trend in the financial industry is the move toward the “RIA” model. An RIA is a registered investment adviser, basically a firm that offers investment advice and other services and is held to a higher fiduciary standard – meaning they must only act in the clients’ interest. RIAs are compensated on a fee basis; Beck Bode is an RIA.
What attracted me to Beck Bode is its size and focus. The fact that it is an RIA and not a big corporation where I am just another employee, that makes a big difference to me. I remember during the interview process, when I met Ben Beck, one of his sons was in the office. When I looked up Ben online, I noticed he had a picture of his family. In fact, so many of the team members are visibly invested in their families. At Beck Bode, family is front and center, and they mean it. As a single dad to a little boy, I want to work somewhere where my professional contribution is taken as seriously as my personal commitment to my family. I knew from the day I walked into Beck Bode that this is a place where I wanted to work and connect with other similarly minded people.
Fitness is another Beck Bode value. I used to do CrossFit regularly, have run five marathons, and I played college hockey. I also love to spend time outdoors hiking, skiing, snow shoeing, golfing, and just enjoying the fresh air. Over the pandemic many of these things took a back seat, though I look forward to being active again. Most of all, I love to spend time with my son.
CREDENTIALS AND OTHER TRIVIA
- University of Connecticut, B.A, Neurobiology (2000) I live in Danvers, Massachusetts.
- I have a love for traveling and cars - especially Porsche 911s. Owning my first Porsche was a childhood dream of mine which was realized when Covid hit, and I needed to have something to occupy my time while I could not travel.
- I have been to 47 states, 15 countries and counting!