George Specht
About George Specht
George Specht is the Manager of L and R Technology and Reporting at TD Ameritrade, with over two decades of experience in the financial services industry focusing on compliance and regulatory roles.
Current Role at TD Ameritrade
George Specht has been serving as the Manager of L and R Technology and Reporting at TD Ameritrade since 2016. His role focuses on managing technology and reporting functions within the financial services context. This position is based in Omaha, Nebraska, where George plays a pivotal role in overseeing compliance and regulatory operations, ensuring that TD Ameritrade adheres to industry standards and regulations.
Past Experience at Bancwest Corporation
From 2011 to 2016, George Specht worked at Bancwest Corporation as the AVP, Branch Audit Unit Senior Compliance Officer. Prior to this, he also held the position of AVP, Senior Compliance Officer from 2006 to 2011. Both roles were based in Honolulu, Hawaii, and involved significant responsibilities in compliance and regulatory oversight, contributing to the organization's adherence to financial regulations and standards.
Previous Roles at TD Ameritrade
George Specht has an extensive history with TD Ameritrade, having worked in various roles since 1997. He started as a Senior Broker on the Special Products Team (1997-2004), moved on to become the Continuing Education Coordinator for Corporate Compliance (2004-2006), and later advanced to his current managerial role. These positions were based in Omaha, Nebraska, and provided George with a comprehensive understanding of the company's operations and compliance requirements.
Educational Background
George Specht studied Political Science at the University of Nebraska at Omaha, where he earned a Bachelor of Science degree. His educational background in political science has provided a strong foundation for his extensive career in the financial services industry, particularly in compliance and regulatory roles.
Industry Expertise
With over two decades of experience in the financial services industry, George Specht has specialized in compliance and regulatory roles. His work spans both Honolulu, Hawaii, and Omaha, Nebraska, giving him a diverse geographical work history. Throughout his career, he has been involved in supporting independent registered investment advisors (RIAs), helping them grow their businesses and achieve their client financial goals.