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Valerie Phillips in Athens Banner-Herald
compliance, anti-money laundering specialists, columbia college, american securites group
Business Whirl: Phillips a compliance officer at company
Story updated at 7:23 PM on Saturday, June 28, 2008
Valerie Phillips has been named chief compliance officer at Athens-based Broad Street Capital Advisors LLC. A 13-year veteran of the investment industry, Phillips brings regulatory and compliance experience to the company.
Phillips’ duties will include initiating and enforcing regulatory compliance programs that are consistent with federal, state and organizational regulations. She also maintains communication with the executive management committee regarding all regulatory and compliance matters.
Prior to joining Broad Street Capital Advisors, Phillips served as vice president, chief compliance officer, general securities principal, option principal and municipal securities principal for Boca Raton, Fla.-based American Securities Group, Inc.
Originally from Woodstock, Ill., Phillips holds a bachelor’s degree in finance and management from Columbia College. She holds a variety of professional licenses in the fields of options and securities. She also is certified by the Association of Certified Anti-Money Laundering Specialists and is working toward her certified regulatory and compliance professional designation.