Thomas Somelofske

Clearwater, Florida

Chief Compliance Officer, Newport Group

Experience at:
Newport Group, Lord, Abbett & Co. Llc, New York Life Investment Management

I am happy to answer questions about a job, research product, etc. with a 15-minute phone call or emailed response

I’m interested in mentoring people from:

    Ask Me About

    Branch Office Exams
    Code of Ethics
    Policy & Procedure Testing
    Regulatory Exams
    Regulatory Filings
    Relationship Building
    Setting Priorities
    Team Building

    People I've Reported To

    People I've Worked With

    People Who've Reported to Me

    Where I've Worked

    Aug 2015 – May 2016

    Chief Compliance Officer

    Newport Group

    Oct 2004 – Jan 2014

    Senior Compliance Manager

    Lord, Abbett & Co. Llc

    Apr 1993 – Oct 2004

    2nd Vice President - Compliance

    New York Life Investment Management

    Jul 1985 – Apr 1993

    Assistant Vice President - Compliance

    New York Life Insurance Company
    Where I've Studied


    MBA, Finance

    St. John's University


    Bachelors, Political Science/History

    Marquette University

    Compliance professional with extensive in-depth experience in regulatory compliance.

    I have been the lead contact for SEC, FINRA and OCC regulatory examinations providing the regulatory agencies prompt and timely responses to their initial request items.


    Auditing & Compliance

    Risk & Quantitative Analysis

    Ask Me for a Referral

    Newport Group
    Walnut Creek, CA and 7 other location(s)
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