Woodbury Financial Services is pleased to announce that Albert Johnson has joined the award-winning broker/dealer as chief compliance officer of broker/dealer services. He will report to Mark Sides, Woodbury’s chief legal officer. In this role, Johnson, 52, will oversee the firm’s supervisory and compliance systems, including:
? Self-evaluation testing to detect and address weaknesses;
? Adjusting compliance systems to reflect changes in legal requirements;
? Assessing evolving compliance and regulatory risks.
As the CCO of broker/dealer services, Johnson also serves as the Money Laundering Reporting Officer and works with the legal department in regulatory liaison with FINRA, the SEC and state-level regulators.