Harry S.
About Harry S.
Harry Striplin's Role as Chief Compliance Officer
Harry Striplin serves as the Chief Compliance Officer (CCO), leveraging over 33 years of specialized experience in compliance within small firms. He has been instrumental in developing and maintaining comprehensive compliance programs to ensure adherence to regulatory standards. Striplin's expertise in compliance has shaped his approach as a CCO, aligning with the stringent requirements of regulatory guidelines.
Extensive Experience in Small Firms
With more than 42 years of experience in the industry, Harry Striplin has dedicated his career to working with small firms. His long-standing tenure in this environment has provided him with unique insights and specialized skills to address the specific challenges faced by smaller organizations in meeting regulatory compliance requirements.
Former Chief Compliance Officer at Umpqua Investments
Harry Striplin previously served as the Chief Compliance Officer at Umpqua Investments, Inc. for 11 years. During his time there, he was responsible for overseeing the firm's compliance with regulatory standards, implementing compliance programs, and ensuring all practices met industry guidelines.
Career at Paulson Investment Company
From 1991 to 2008, Harry Striplin held significant roles at Paulson Investment Company, Inc. He served as the Chief Compliance Officer from 1991 to 2006, and later as the Chief Operating Officer from 2006 to 2008. His tenure at Paulson Investment showcased his capabilities in both compliance and operational management within the investment sector.
Involvement with FINRA and Securities Industry Regulatory Bodies
Harry Striplin is actively involved with several prominent securities industry regulatory bodies. He is a member of the Securities Industry Regulatory Council on Continuing Education and has served on FINRA's West Region Committee multiple times. Additionally, he is an arbitrator for FINRA Dispute Resolution and has been a panelist at numerous FINRA securities conferences, sharing his expertise on compliance matters.
Certified Regulatory and Compliance Professional (CRCP) Certification
Harry Striplin has attained his Certified Regulatory and Compliance Professional (CRCP) certification through the FINRA Institute at Wharton. This certification underscores his commitment to continuous professional development and signifies his expertise in regulatory and compliance practices within the securities industry.