Keller, CAMS, AIF®
I have been the Anti-Money Laundering (AML) Compliance Officer for Sigma Financial Corporation and Parkland Securities, LLC since 2013, helping to lead the development, implementation, and maintenance of an anti-money laundering program for the firms. I am responsible for arranging and implementing both and audits from third-party organizations and making appropriate compliance recommendations based on their findings. I compile reports and deliver briefings to senior management on matters related to internal AML compliance policies and procedures. I also oversee and carry out an ongoing AML training program for employees while keeping and maintaining records of high-risk customers and filing required reports on suspicious activity.
I am CAMS certified through the Association of Certified Anti-Money Laundering Specialists and hold the Accredited Investment Fiduciary® designation through FI360. I began my career in the securities industry in 2001 working in the licensing area, learning state securities laws and regulations, before moving to compliance in 2004. My compliance background encompasses all aspects of general registered representative supervision, including but not limited to branch office audits, direct sales review, transaction monitoring, as well as providing risk management guidance to representatives to ensure regulatory compliance.
Series 4: Registered Options Principal
Series 7: General Securities Representative
Series 24: General Securities Principal
Series 53: Municipal Securities Principal
Series 66: Uniform Combined State Law
I served in the United States Army as a Military Policeman. I was trained in military laws and regulations, traffic control, crime prevention, investigations, and emergency response. Training also included force protection, anti-terrorism, area security, and police intelligence operations, as well as corrections and detention.
I graduated from Eastern Michigan University with a bachelor’s in business administration.