Assistant Director of Compliance
- Company:Principal Securities, Inc.
- Short Bio:Brock has spent over 20 years in the financial services industry in sales, support, supervision and compliance capacities, the last 15+ coming in various capacities on the compliance side of the business. He has developed a deep understanding of the independent and dual-registrant models as well as wholesale insurance and bank distributions. He has studied regulations and developed policies and procedures across all aspects of the business to comply with those rules and regulations. Brock has a combination of experience in sales, sales support and supervision which has provided him a strong basis to be able to bridge the communication gap that often exists between the sales, supervision, compliance, and audit functions of a firm. Brock currently makes his home in Des Moines, Iowa, spending whatever free time he musters with Dana, his wife of over 22 years; his son Noah, who was born earlier this year; and extended family and friends enjoying sports, the outdoors, and all that the Midwest has to offer.