| | Terri Walsh Senior Vice President /
Chief Compliance Officer |
Terri Walsh is Senior Vice President and Chief Compliance Officer for Money Concepts Capital Corp. Terri is responsible for developing, implementing, and revising the company's compliance procedures to meet regulatory guidelines as well as enforcing formal compliance controls. Terri ensures compliance on SEC and FINRA rules, such as advertising, sales literature, continuing education, and AML program. Terri monitors and identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues. She supervises Money Concepts registered representatives with respect to the applicable federal, state and self regulatory rules and regulations.
She graduated Cum Laude from Florida State University with a Bachelor of Science in Marketing and was honored into the membership of the National Honor Society for demonstrated excellence in the areas of Scholarship, Leadership, Service, and Character.
Terri is a participating member of the National Society of Compliance Professionals, SIFMA Compliance & Legal Society, and National Association for Female Executives
Terri holds the FINRA Series 4, 7, 24, 63, 65 and Life, Health and Variable Contract Insurance Licenses.
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