Sander Ressler

Sander Ressler, is the managing director of Essential Edge Compliance Outsourcing Services, LLC, and has broad and deep expertise in compliance, supervision and operations – including more than 20 years of hands-on, frontline experience with broker-dealers and registered investment advisers. Mr. Ressler began his career working for a state regulator and subsequently served in senior compliance positions for financial services firms including American Express, American General Life Insurance, AIG, ING, and Société Générale S.A. He has led more than 20 regulatory examinations conducted by the SEC, FINRA and various state departments governing banking, securities, and insurance.

 

Since launching his own consulting company, Mr. Ressler has assisted financial institutions with a wide range of outsourced compliance-related services, such as updating written supervisory procedures, conducting branch office inspections, conducting AML and 3130 exams, and approving advertising, and electronic correspondence.  He is a Regulatory & Compliance Affairs Columnist with Wealth Solutions Report, a leading B2B wealth management industry media outlet and is a regular contributor in industry publications, including InvestmentNews and  wealthmanagement.com.  Mr. Ressler has held the Series 3, 4, 7, 8, 9, 14, 24, 53, 63 and 65 licenses. 

 

Mr. Ressler serves as the Company’s chief compliance officer and corporate secretary. Mr. Ressler is the Principal Consultant and Managing Member of his private consulting firm, Essential Edge Compliance which  performs over 1,000 branch office examinations for independent broker-dealers and Advisers annually.  It regularly conducts independent AML testing, CEO certification, email and advertising reviews, and independent investigations. Mr. Ressler’s regulatory, internal compliance, sales, and asset management experience provide valuable insight into each of these facets of the financial industry and the Advisor’s and the Company’s compliance efforts. Mr. Ressler also serves as the managing director of Essential Edge Regulatory and Legal Support Services, LLC where he regularly serves as an expert witness in arbitrations and meditations on broker-dealer issues including suitability, risk management, supervision, data breaches, due diligence, and industry best practices.  Mr. Ressler also acts as an independent consultant in support of FINRA and SEC settlements with broker-dealers and advisers, and conducts independent investigations for broker-dealers on suspected fraud and sales practice abuses.

 

Mr. Ressler started his career with the State of Florida’s Division of Securities and Investor Protection as a financial examiner. He has worked in financial services since earning his bachelor’s degree in investments from Florida State University in 1986 and has accumulated over 34 years of experience in the financial industry and in regulatory compliance.  Mr. Ressler has served in various senior executive and operational roles and as the chief compliance officer at a number of firms over his career including EMG Capital, Inc., Summit Brokerage Services, Inc., Multi-Financial Securities Corporation – an ING Company, AIG/American General, Barber & Bronson, Incorporated, Executive Securities, Inc.