With more than 30 years in the financial services industry, Frederick Joyce provides compliance consulting services to clients in meeting their financial regulatory compliance requirements. Previously, he served as Director and Chief Compliance Officer for a financial services company.
As the CCO, Fred was responsible for and led firm-wide compliance efforts. He developed and refined compliance Standard Operating Procedures and training programs. His experience includes Supervisory Procedure Administration & Enforcement, Annual Compliance Reviews, Firm-wide Risk Assessments, Operational Strengths & Weakness (SWOT) Assessments, and Compliance Program Development & Training using common sense approach to aid firm representatives to understand and work with senior leadership to instill a culture of compliance. Additionally, Fred has provided compliance consulting and support to over 40 Wealth Management Firms. He also collaborated and work with broker-dealers’ Chief Compliance Officers and General Counsel to ensure compliance with regulations. His experience and efforts lead to achieving successful results in SEC examinations and FINRA branch audits.
Mr. Joyce has also served in various positions as a member of Board of Directors, Executive Management Committees, Investment Committee, and a Trustee for 401K Plan. He received his BA and MBA from the University of Florida. Additionally he is a Certified Investment Management Consultant, Certified Investment Management Analyst, and holds the FINRA Series 79, 24, 65, 63 & 7 licenses.
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