Ken Brill
About Ken Brill
Ken Brill is the Assistant Vice President of Compliance at MassMutual Financial Group, with over 30 years of experience in the financial services industry.
Assistant Vice President, Compliance at MassMutual Financial Group
Ken Brill serves as the Assistant Vice President, Compliance at MassMutual Financial Group. He began his current role in January 2004 and has been part of the organization for over 19 years. In his capacity, he is responsible for overseeing compliance activities and ensuring adherence to regulatory requirements within the organization. His extensive tenure at MassMutual highlights his commitment and expertise in the field of compliance.
Previous Leadership in Compliance at World Group Securities
Ken Brill worked as the Director of the Compliance Department at World Group Securities from 1998 to 2004. Based in Duluth, GA, he held this position for six years, where he managed compliance-related activities, supervised regulatory adherence, and developed policies to ensure proper conduct within the organization. His role at World Group Securities helped solidify his expertise in compliance management.
Compliance Officer at Argent Securities, Inc.
Ken Brill served as a Compliance Officer at Argent Securities, Inc. from 1995 to 1998. During his three-year tenure in Atlanta, GA, he focused on maintaining regulatory compliance and implementing effective compliance programs. His role was pivotal in upholding the integrity and regulatory standards of the firm.
Early Career as Compliance Examiner at Thomson McKinnon Securities
From 1986 to 1991, Ken Brill worked as a Compliance Examiner at Thomson McKinnon Securities in New York City. Over his five-year tenure, he examined and ensured compliance with relevant regulatory standards. His experience in this role provided him with foundational expertise in the financial services industry and set the stage for his future positions in compliance.
Educational Background in Psychology at Kenyon College
Ken Brill pursued his higher education at Kenyon College, where he studied Psychology and received a B.A. from 1979 to 1983. His academic background provided him with a robust understanding of human behavior, which is instrumental in his approach to compliance and regulatory affairs. Prior to Kenyon College, he attended Saint Albans School from 1975 to 1979 and Janney Elementary School.
Professional Certifications and Securities Registrations
Ken Brill holds Series 7, 24, and 53 Securities Registrations. These certifications are vital for his role in the financial services industry, enabling him to perform various compliance functions effectively. With over 30 years of experience in the financial sector, his certifications underscore his proficiency and commitment to maintaining standards in securities trading and compliance.