David Whitlock
About David Whitlock
David Whitlock is the Senior Manager Compliance - Retail Compliance Surveillance at TD Ameritrade, with extensive experience in compliance and surveillance roles at both TD Ameritrade and Fidelity Investments.
Company
David Whitlock is currently working at TD Ameritrade. He has held various roles at the company, including his current position as Senior Manager Compliance - Retail Compliance Surveillance since 2021. Prior to this role, he worked in AML Surveillance from 2018 to 2021 in the Dallas/Fort Worth Area.
Title
David Whitlock holds the position of Senior Manager Compliance - Retail Compliance Surveillance at TD Ameritrade. In this role, he is responsible for overseeing retail compliance surveillance, ensuring that the company's operations adhere to regulatory requirements.
Education and Expertise
David Whitlock completed a Bachelor of Science (B.S.) in Business Administration from Auburn University, where he studied from 1989 to 1993. He has developed expertise in compliance surveillance, risk management, and the use of big data tools such as SQL Developer to create compliance solutions.
Background
David Whitlock has a rich background in compliance and risk management, having worked at Fidelity Investments from 1993 to 2018. His roles there included Director Institutional Surveillance Oversight, Director Compliance Surveillance, Compliance Advisor, Manager Risk Management, and various other roles. This extensive experience across different areas allowed him to develop comprehensive skills in surveillance, compliance, and risk management.
Technological Solutions in Compliance
David Whitlock is involved in developing and implementing new technological solutions to address complex surveillance issues and emerging threats. He utilizes big data tools like SQL Developer to assist in creating compliance solutions, enhancing the effectiveness and efficiency of surveillance activities.