Senior Vice President of Compliance
Kimberly Johnson, FiSolve’s Senior Vice President of Compliance, has more than 15 years’ experience in senior broker-dealer and advisory compliance leadership roles at Ally Financial, MetLife, LPL Financial and Etoro where she has served as Senior Director, Senior Compliance Consultant, Vice President, Deputy Chief Compliance Officer, and Chief Compliance Officer.
An Options and Securities Principal, Kimberly holds FINRA Series 4, 7, 24 and 63 licenses. She specializes in strategic broker-dealer and advisory end-to-end regulatorily compliant program development, risk identification and mitigation, creation and supervision of policies and procedures, books and records requirements, operations and trading programs, marketing review/advertising regulation, employee supervision, customer complaint management, process streamlining & creating efficiencies, remote and in-person teambuilding, servant leadership, mentoring and public speaking. Kimberly provides a comprehensive, initiative-taking approach to developing and enhancing compliance programs by partnering with key business stakeholders at the onset of program or product expansion to provide regulatory guidance and real-time feedback throughout the process. This approach empowers teams to compliantly streamline new business opportunities to drive potential revenue.
Kimberly is a FINRA and SEC regulations subject-matter-expert and has been featured on industry panels for her in-depth knowledge of advertising regulation and compliantly expanding broker-dealer’s marketing reach through utilization of social media, webinars, and additional digital communication tools. In her free time, Kimberly is committed to educating young men and women on financial literacy and giving back to charities such as St. Jude’s Children’s Hospital and Compassion International.
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