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
    Leadership
    Policy & Procedure Testing
    Regulatory Exams
    Regulatory Filings
    Relationship Building
    Setting Priorities
    Team Building
    Training

    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
    N

    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

    1984

    MBA, Finance

    St. John's University

    1980

    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.

    Specialties

    Auditing & Compliance

    Risk & Quantitative Analysis

    Ask Me for a Referral

    Newport Group
    Walnut Creek, CA and 7 other location(s)
    View All 19 Jobs  

    In the Media

    Social Media