Robert Hastings
City Of Saint Peters
Summary
Proactive professional with extensive experience in compliance audits and regulatory adherence. Known for strong attention to detail and critical thinking, consistently achieving enhanced compliance standards and effective risk management, and team leadership.
Overview
27
27
years of professional experience
1
1
Certification
Work History
Senior Compliance Specialist
Wells Fargo Advisors
St Louis, MO
05.2005 - 05.2026
- Led compliance audits to ensure adherence to regulatory standards and internal policies.
- Stayed current with latest changes to applicable regulatory standards and company procedures.
- Kept informed regarding pending industry changes, trends or best practices.
- Led internal audits to assess adherence to regulatory requirements, resulting in improved overall company compliance.
- Maintained up-to-date knowledge of industry trends, legal developments, and best practices to ensure continued compliance success.
- Prepared documentation and records for upcoming audits and inspections.
Technical Specialist
Edward Jones
St Louis, MO
03.1999 - 03.2005
- Analyzed system performance data to identify areas for improvement and implement corrective actions.
- Collaborated with cross-functional teams to implement new system solutions effectively and timely.
- Improved operational efficiency by streamlining processes and implementing updates to firm systems.
- Collaborated with IT to develop custom system solutions, addressing unique operational challenges.
Education
Bachelor of Arts - History/Hebrew Studies
Southwest Missouri State University
Springfield, MOPh.D. - Theology
St. Andrews University
St. Andrews, ScotlandSkills
- Remaining current with industry licenses, including Series 7, Series 9/10, Series 63, and Series 65
- Research proficiency
- Attention to detail
- Critical thinking
- Effective communication
- Site inspection
- Audit documentation
- Risk assessment
- Teamwork and collaboration
Accomplishments
- Collaborated with teams of various sizes in the development of annual branch exams.
- Identified serious violations of firm policy and forwarded them on for heightened review.
- Completed assigned branch exams within stated time limits.
- Maintained a willingness to help others working on different branch exams.
Certification
Series 7; Series 9/10; Series 63; and Series 65
Languages
English
Native or Bilingual
Timeline
Senior Compliance Specialist
Wells Fargo Advisors
05.2005 - 05.2026
Technical Specialist
Edward Jones
03.1999 - 03.2005
Bachelor of Arts - History/Hebrew Studies
Southwest Missouri State University
Ph.D. - Theology
St. Andrews University