Carie Heckler

Energizer
DISC Type : I

Chief Compliance Officer at Lion Street Financial, LLC

Dallas, Texas, United States

Overview

Carie Heckler serves as the Chief Compliance Officer at Lion Street, LLC, where she applies her extensive expertise in regulatory compliance and supervisory management. A graduate of West Texas A&M Universitys MBA program, her career is marked by managing large-scale compliance programs and teams.

Her career foundation was built as a Securities Investigator for the Texas State Securities Board, where she conducted on-site inspections of broker-dealers.

Personality Overview

Relationship Oriented

Informal

Enthusiastic

They are really good at seeing what the long-term impacts of their decisions could be.  They are friendly, approachable and love to make new connections. Unlike C or D types, they are vocal with their opinions but not so much with their questions.

Topics They Care About

Regulatory Compliance
Her entire career, from state investigator to Chief Compliance Officer, is dedicated to ensuring compliance with SEC, FINRA, and state securities laws.
Supervisory Leadership
Previously managed 30 compliance professionals and provided supervision for 2, 000 sales associates, demonstrating extensive experience in building and managing supervisory infrastructure.
Financial Investigations
Began her career performing on-site inspections and addressing public complaints as a Securities Investigator for the State of Texas.

Media Appearances

Carie has no verified media appearances

Work History

11-2012
Chief Compliance Officer at Lion Street Financial, LLC
11-2009 - 12-2011
Chief Compliance Officer at WFG Advisors, LP
9-2005 - 2-2009
Director of Business Practices at AXA Advisors
6-2002 - 9-2005
Branch Controls Specialist at AXA Advisors
5-2000 - 6-2002
Securities Investigator at Texas State Securities Board

Education

1998 - 2000
MBA from West Texas A&M University
1995 - 1998
BBA from Texas Tech University

More Information

Social Presence :

Prographics :

Exp : 24 Location : Dallas, Texas, United States Job Level : Leadership Designation : Chief Compliance Officer at Lion Street Financial, LLC
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Insights For Selling To Carie

During A Call Or A Meeting

DO's

  • Invite them for a lunch or a drink/coffee
  • Do some small talk, ask them how things are going on their side
  • Talk about their team and how your product will help them do things better and easier

DONT's

  • Don’t be excessively objective, be a storyteller
  • Avoid ifs and buts, don’t talk too much about the risks etc.
  • Avoid cutting into their flow

When Cold Calling

When Writing An Email

While Negotiating & Closing

    The secret to closing fast with Carie is

  • Relationship and rapport can play an important role, sometimes more than the other factors.
  • Will you ever get a clear answer from Carie

  • They will probably never say no directly, you have to make that decision yourself.

Insights For Deal Planning

    How fast (or slow) will Carie move?

  • They are not the quickest decision makers, their friendly attitude could be misleading.
  • Can Carie take some risk or not?

  • They can take certain risks that are unlikely to have personal consequences.

You And Carie

Personality Compatibility


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