William Brooks
About William Brooks
William Brooks serves as the Senior Compliance Officer at Synovus, where he focuses on ensuring compliance within the investment sector. He has extensive experience in financial services, having held various roles at SunTrust and Triad Advisors, and he emphasizes client privacy and regulatory adherence in his work.
Current Role at Synovus
William Brooks serves as a Senior Compliance Officer at Synovus Securities, Inc. since December 2018. In this role, he focuses on ensuring compliance with industry regulations within the investment sector. His responsibilities include advising clients on the risks associated with investment products and maintaining client privacy by discouraging the use of unsecured communication channels.
Previous Experience at SunTrust
William Brooks has extensive experience at SunTrust Banks, Inc., where he held the position of Vice President from 2005 to 2014. During his tenure, he was involved in various compliance-related functions. He also worked at SunTrust Investment Services, Inc. as a Regulatory Control Consultant II from 2007 to 2014 and as Branch Examination Manager from 2005 to 2007, accumulating a total of nine years in various roles within the organization.
Education and Expertise
William Brooks earned a Bachelor of Science in Business Administration (BSBA) from the University of West Florida, where he studied from 1997 to 2000. He also attended EHCS, further enhancing his educational background. His academic qualifications support his expertise in compliance and risk management within the financial services industry.
Career Background in Financial Services
Before his current role, William Brooks worked at Triad Advisors as Home Office Principal 2 for one year from 2017 to 2018. He also has a background in the U.S. Navy, where he served as an Electronics Technician from 1992 to 1995. His diverse career path has provided him with a broad perspective on compliance and regulatory issues in the financial sector.
Client Communication Practices
In his role as a compliance officer, William Brooks prioritizes secure communication with clients. He primarily communicates through phone and business email, adhering to regulatory restrictions on messaging systems. He emphasizes the importance of client privacy and advises against sharing confidential information through unsecured channels.