- Broker-Dealer and Investment Adviser Compliance
- Supervisory Structures and Compliance Program Development
- Email and Correspondence Reviews
- Compliance Training and Education
- Annual Review Testing and Surveillance
B.A. in Finance and secondary concentration in International Business, B.S. in German Language & Literature, University of Nebraska at Omaha (degree awarded Magna Cum Laude)
Series 4, 7, 24, 52, 53 & 66
Haley Gould, Compliance Analyst with Core Compliance & Legal Services, Inc. SM (“Core Compliance”), provides practical solutions for the firm’s clients. She has a passion for compliance and assists our clients with registration and compliance program testing to advance the culture of compliance within organizations. She strives to serve and assist clients with mitigating regulatory risk and assisting with critical compliance needs, providing best in class service wherever she can.
Ms. Gould specializes in all aspects of registration, including Forms U4/U5 and Form ADV, developing and updating policies and procedures, advancing compliance technology systems, and email and general correspondence review.
Prior to joining Core Compliance, Ms. Gould served as an Associate Regional Sales Supervision Principal and an Analyst at Securities America, Inc. In this role, Ms. Gould was engaged in approving new business, including Alternative Investments, annuity exchanges, money managers, options agreements and financial plans. She assisted and guided financial professionals with compliance system inquiries, regulatory requirements, mentored and trained colleagues and worked on projects to help continuously improve compliance programs.