Susan Woodard Email & Phone Number | Compliance professional with over 20 years of investment adviser and broker/dealer experience establishing, implementing, and enhancing compliance programs, including policies, procedures, controls, and testing. Specializations include conflicts of interest, private funds, mutual funds and ETFs, marketing, registrations, and analysis and implementation of new regulations.

Susan Woodard

Compliance professional with over 20 years of investment adviser and broker/dealer experience establ...
San Francisco, California, United States

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Susan Woodard’s Email swoodard@vcm.com

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Susan Woodard’s Location San Francisco, California, United States

Susan Woodard’s Current Industry Equitybee

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Chief Compliance Officer and CEO of EquityBee Securities

2021-10-01 00:00:00 - Present

Chief Compliance Officer- Broker/Dealer

2019-08-01 00:00:00 - 2021-10-01 00:00:00

Chief Compliance Officer

2018-04-01 00:00:00 - 2019-08-01 00:00:00

Chief Compliance Officer - Broker/Dealer

2013-12-01 00:00:00 - 2016-07-01 00:00:00

Vice President

2007-01-01 00:00:00 - 2013-12-01 00:00:00

Senior Compliance Advisor

2002-07-01 00:00:00 - 2006-07-01 00:00:00

Compliance Analyst

2001-02-01 00:00:00 - 2002-06-01 00:00:00

Financial Advisor

2000-06-01 00:00:00 - 2001-02-01 00:00:00

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Susan Woodard is a Compliance professional with over 20 years of investment adviser and broker/dealer experience establishing, implementing, and enhancing compliance programs, including policies, procedures, controls, and testing. Specializations include conflicts of interest, private funds, mutual funds and ETFs, marketing, registrations, and analysis and implementation of new regulations.

Susan Woodard has prior
experience in the following industries:
Victory Capital | Eqis Capital Management | Rs Investments | Blackrock | Commonwealth Financial Network | Investors Capital | American Express Financial Advisors

Susan Woodard has the following professional experience:
Equitybee | Victory Capital | Eqis Capital Management | Rs Investments | Blackrock | Commonwealth Financial Network | Investors Capital | American Express Financial Advisors