Lisa Debock Email & Phone Number | Over 10 years’ experience in financial services industry and in compliance (brokerage and investment advisor), including: • Compliance (Brokerage & Investment Advisor) • Product/Digital Experience Compliance • Investments (Stocks, Mutual Funds, ETFs, VAs, Alternatives) • Investment Advisory, Wealth Management, and Brokerage Operations • Communications/Advertising Compliance Currently hold Series 7 and 24 Skills: • Team player and collaborator • Self-starter with strong analytical skills • Ability to connect the dots and drive impact & change • Highly detail-oriented • Creative problem-solver, willing to question traditional ways of doing things and develop recommendations to meet business and regulatory needs • Ability to handle a diverse workload, multi-task and prioritize requests • Ability to convey complex issues and rules in a customized and plain English delivery • Ability to make critical decisions while following firm and regulatory polices & procedures • Excellent verbal and written communications skills • Strong computer skills and very familiar with Microsoft Office & G Suite • Critical Thinker • Excellent learning skills • Prior experience in auditing, tax, financial planning, and accounting (CPA inactive) • Successful remote worker The postings and opinions on this site are my own and do not necessarily represent any current or previous employer’s position.

Lisa Debock

Over 10 years’ experience in financial services industry and in compliance (brokerage and investment...
Phoenix, Phoenix, United States

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Lisa Debock’s Email ldebock@freeartsaz.org

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Lisa Debock’s Location Phoenix, Phoenix, United States

Lisa Debock’s Current Industry State Farm

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Work Experience

State Farm

Investment Plan Service Analyst

2024-07-01 00:00:00 - Present

Free Arts For Abused Children Of Arizona

Finance Manager

2024-03-01 00:00:00 - 2024-06-01 00:00:00

Positive Planet

Head of Special Projects, Operations (Volunteer)

2022-10-01 00:00:00 - 2022-12-01 00:00:00

Wells Fargo

Enterprise Risk Officer

2021-09-01 00:00:00 - 2021-12-01 00:00:00

Charles Schwab

Director, Digital & Communications (Product) Compliance

2018-06-01 00:00:00 - 2021-09-01 00:00:00

Hartford Funds

Senior Compliance Consultant

2018-04-01 00:00:00 - 2018-06-01 00:00:00

The Carlyle

Compliance Administrator, Carlyle Investment Solutions

2014-06-01 00:00:00 - 2015-11-01 00:00:00

Morgan Stanley Investment Management

Director, Compliance, MSIM

2012-11-01 00:00:00 - 2014-06-01 00:00:00

Morgan Stanley Wealth Management

Assistant Vice President, Compliance, MSWM

2010-10-01 00:00:00 - 2012-11-01 00:00:00

New York Life Insurance

Compliance Director, Sales Material Review Unit

2006-07-01 00:00:00 - 2010-10-01 00:00:00

Skills

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Languages

No Languages Available

FAQ About Lisa Debock

Lisa Debock is located at
Phoenix, Phoenix, United States

Lisa Debock is a Over 10 years’ experience in financial services industry and in compliance (brokerage and investment advisor), including: • Compliance (Brokerage & Investment Advisor) • Product/Digital Experience Compliance • Investments (Stocks, Mutual Funds, ETFs, VAs, Alternatives) • Investment Advisory, Wealth Management, and Brokerage Operations • Communications/Advertising Compliance Currently hold Series 7 and 24 Skills: • Team player and collaborator • Self-starter with strong analytical skills • Ability to connect the dots and drive impact & change • Highly detail-oriented • Creative problem-solver, willing to question traditional ways of doing things and develop recommendations to meet business and regulatory needs • Ability to handle a diverse workload, multi-task and prioritize requests • Ability to convey complex issues and rules in a customized and plain English delivery • Ability to make critical decisions while following firm and regulatory polices & procedures • Excellent verbal and written communications skills • Strong computer skills and very familiar with Microsoft Office & G Suite • Critical Thinker • Excellent learning skills • Prior experience in auditing, tax, financial planning, and accounting (CPA inactive) • Successful remote worker The postings and opinions on this site are my own and do not necessarily represent any current or previous employer’s position.

Lisa Debock currently works in the State Farm |

No Languages Available

Lisa Debock has prior
experience in the following industries:
Free Arts For Abused Children Of Arizona | Positive Planet | Wells Fargo | Charles Schwab | Hartford Funds | The Carlyle | Morgan Stanley Investment Management | Morgan Stanley Wealth Management | New York Life Insurance

Lisa Debock has the following professional experience:
State Farm | Free Arts For Abused Children Of Arizona | Positive Planet | Wells Fargo | Charles Schwab | Hartford Funds | The Carlyle | Morgan Stanley Investment Management | Morgan Stanley Wealth Management | New York Life Insurance