Paul Tolley
About Paul Tolley
Paul Tolley is the Chief Compliance Officer with a Bachelor's degree in Business Administration from Northeastern University and multiple FINRA securities registrations.
Chief Compliance Officer
Paul Tolley currently serves as the Chief Compliance Officer. In this role, he is responsible for overseeing and managing regulatory compliance within the organization, ensuring that the company operates within legal, ethical, and regulatory boundaries. His work includes developing compliance programs, reviewing company policies, and providing training on regulatory issues. This is crucial for maintaining the company's integrity and reputation in the industry.
Education in Business Administration
Paul Tolley earned a Bachelor's degree in Business Administration from Northeastern University. This educational background provided him with foundational knowledge in business management, finance, and organizational behavior. These skills are essential for his role in compliance, as they help him understand and navigate complex regulatory environments.
FINRA Securities Registrations
Paul Tolley holds several important FINRA securities registrations, including Series 4, 7, 24, 53, 63, and 65. These registrations enable him to perform a wide range of functions in the securities industry, from handling securities sales to supervising and managing compliance within financial firms. Each of these certifications signifies a specific area of expertise and responsibility, underscoring his comprehensive knowledge and capabilities in financial regulation and compliance.
Membership and Professional Associations
Paul Tolley is an active member of FINRA's Membership Committee and the National Society of Compliance Professionals (NSCP). These affiliations reflect his commitment to staying engaged with the regulatory community and contributing to the development of industry standards. These memberships allow him to stay updated on the latest compliance trends and regulatory changes, as well as to network with other professionals in the field.