Chief Compliance Officer, Director of Operations
Mr. Spence is responsible for overseeing the development and management of the enterprise wide Regulatory Compliance program.
- Vice President, Senior Compliance Manager, HSBCManaged all Investment and Commercial Banking regulatory compliance initiatives for the Mid-Atlantic and Northeast region.
- Vice President, Compliance Officer, Wells Fargo Advisors – Responsible for various areas within broker dealer including, digital, licensing, rule implementation, and policy management.
- Virginia Commonwealth University, BS, Psychology
- Saint Louis University School of Law, JD