Speakers

Christine Warner

Chief Compliance Officer

  • Company:Monticello Financial Group, LLC
  • Short Bio:Christine Warner, CSCP®, PMP® is currently the Chief Compliance Officer at Monticello Financial Group, a new limited purpose broker-dealer based in Texas. She is trained in the ISO® 9000 quality system and is a certified Project Management Professional® and has used the methods, metrics, and management techniques to augment compliance programs and integrate compliance functions and requirements into day-to-day operations. Starting at a regional bank, Christine enhanced her compliance skills at Manning & Napier Advisors, an investment management company in upstate New York, provided field compliance for Mutual of New York (MONY) and AXA during their integration and returned to the investment side of regional banking as Chief Compliance Officer at Tompkins Financial Advisors. For the last several years Christine has been Chief Compliance Officer in the Independent Broker Dealer and Independent Registered Investment Advisor channel.
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