New Hire Roundup: NASAA Names Joseph Brady Executive Director

FSR has hired Jill Hoffman from NAIFA; more

The state securities regulators' lobby has named an executive director. The state securities regulators' lobby has named an executive director.

This week in personnel announcements and new hires, Financial Services Roundtable announced a new lobbyist and promotions; Heidi Spilotros advanced at Hartford Funds; the North American Securities Administrators Association named Joseph Brady executive director; and Brian Ford joined the TCW Group.

Also, Derek Dorn was appointed vice president of public policy at TIAA-CREF, and Rob Hauswirth went to CTC|myCFO.

Brady to Head NASAA

NASAA, the state securities regulators' group, has announced that it has named Joseph Brady executive director. Brady had been serving as acting executive director, in addition to his duties as general counsel, since the departure of Russ Iuculano, the organization’s former executive director, in September.

Brady joined NASAA in 2005 as associate counsel and was named general counsel in 2011. Prior to joining, he served as chief counsel to the securities division of the Mississippi Secretary of State.

FSR Adds, Promotes Lobbying Personnel

The Financial Services Roundtable added and promoted government affairs staffers and leaders dedicated to investment management, banking and fraud reduction in the financial sector.

Jill E. Hoffman will join FSR as vice president of Government Affairs for Investment Management. Hoffman hails from the National Association of Insurance and Financial Advisors, where she has served as NAIFA's chief lobbyist before the Senate Banking and House Financial Services committees since 2006.

FSR also promoted Anthony Cimino to senior vice president of Government Affairs to lead FSR’s efforts on insurance and will take on an expanded role on banking issues. Cimino joined FSR in 2012 and previously served as professional staff for the House Financial Services Committee. He played a central role in securing the passage of the Terrorism Risk Insurance Act (TRIA).

Roxane Schneider was also promoted to director of Fraud Risk. Schneider has been a key driver of FSR’s fraud reduction program for nearly five years, helping financial institutions examine risks and craft best practices and industry solutions to combat fraud.

Spilotros Named Hartford Funds Head of Internal Sales

Hartford Funds has named Heidi Spilotros head of internal sales for the company. She is based in Radnor, Pennsylvania and will report to Jac McLean, head of distribution.

Spilotros joined in 2011 and most recently served as vice president of training and development. Earlier, she was a strategy expert in the sales and distribution division of MassMutual’s U.S. insurance group.

TCW Group Adds Ford in Institutional Marketing

The TCW Group has announced that Brian Ford has joined as senior vice president for the institutional marketing team. He is based in New York City and reports to Joe Carieri, group managing director and head of institutional marketing.

Prior to joining, Ford was vice president of institutional account management at PIMCO. Earlier, he was a portfolio management associate at Pacific Alternative Asset Management Co. (PAAMCO) and before that was assistant vice president of Asian trading for HSBC Investment Bank and as an analyst for both M. Safra & Co. and UBS Investment Bank.

Dorn Joins TIAA-CREF as Counsel

TIAA-CREF has announced that Derek Dorn has been named VP of public policy and associate general counsel. He is based in New York.

Dorn joined from the Washington law firm Davis & Harman, where he was a partner. Earlier, he was staff director of a U.S. Senate Finance subcommittee and counsel to former Sens. Jeff Bingaman, D-N.M., and Joe Lieberman, D-Conn., and held various roles at other law firms.

Hauswirth Joins CTC|myCFO

Rob Hauswirth has been named managing director with CTC|myCFO, a part of BMO Financial Group. He is based in Chicago.

With more than 20 years of experience, Hauswirth most recently was with Oxford Financial Group. Prior to that, he served in senior advisory roles in Arthur Anderson LLP’s private client services group and at Gresham Partners LLC.

--- Check out 4 Steps to Building a Client-Centric Financial Advisory Team on ThinkAdvisor.

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