Daniel S.

Questioner
DISC Type : c

Chief Compliance Officer at Sammons Financial Group Companies

Iowa City-Cedar Rapids Area, United States

Overview

Daniel S. serves as the Chief Compliance Officer for Sammons Financial Group, specializing in risk, compliance, and governance. He leverages his experience in leading large cross-functional projects and advising senior leaders on strategic compliance issues. He holds an MBA and has passed Level I of the CFA Program.

His educational background is based in Iowa, where he earned a B. A. from Coe College and an MBA from Mount Mercy University. His stated interests include large corporations like GE and GE Capital, pointing to a focus on corporate strategy and operations even outside of his direct role.

He has consistently focused on program development and securities regulation throughout his career at firms like UBS and Aegon.

Personality Overview

Value Seeker

Not Easily Convinced

Price-Sensitive

While they don't hesitate to ask questions, they are generally risk-averse and tend to be late adopters.  They generally do not appreciate an overfriendly approach and prefer to stay to-the-point. It is quite likely of them to ask for pricing or other concessions.

Topics They Care About

Risk & Compliance Strategy
His entire career is built on helping financial businesses meet compliance requirements, manage risk, and implement effective governance and testing programs.
Building Compliance Teams
He is actively and publicly recruiting for multiple roles, indicating a current focus on hiring and expanding his team's capabilities at Sammons Financial Group.
Securities Regulation
This is a core skill highlighted in several of his previous senior roles at major asset management firms like UBS and Aegon.

Media Appearances

Daniel has no verified media appearances

Work History

4-2025
Chief Compliance Officer at Sammons Financial Group Companies
7-2022 - 4-2025
Director, AM Americas Compliance & Operational Risk Control at UBS
8-2021 - 7-2022
Senior Compliance Officer at L&G – Asset Management, America
4-2019 - 8-2021
Senior Compliance Officer at Aegon Asset Management
6-2016 - 4-2019
Investment Compliance Officer at Aegon Asset Management

Education

2017 - 2021
Master of Business Administration - MBA from Mount Mercy University
2005 - 2009
Bachelor of Arts (B.A.) from Coe College

More Information

Social Presence :

Prographics :

Exp : 16 Location : Iowa City-Cedar Rapids Area, United States Job Level : Leadership Designation : Chief Compliance Officer at Sammons Financial Group Companies
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Insights For Selling To Daniel

During A Call Or A Meeting

DO's

  • Share as much information as possible regarding your product
  • If you have a lower priced product compared to the competition, call out the same
  • Tell them that you will come back if you don’t have a good answer for a question

DONT's

  • Don’t depend too much on anecdotal evidence, it reduces their confidence
  • Avoid phrases like ‘do not worry about’, ‘no one compares to’ etc.
  • Don’t try to be too friendly or informal with them

When Cold Calling

When Writing An Email

While Negotiating & Closing

    The secret to closing fast with Daniel is

  • Ensuring that the product delivers ROI, cost-effective pricing and process compliance are very important for them.
  • Will you ever get a clear answer from Daniel

  • It doesn’t come naturally to them but they can say no if they are not convinced.

Insights For Deal Planning

    How fast (or slow) will Daniel move?

  • If they have the information that they need, they can move fast at making their decisions.
  • Can Daniel take some risk or not?

  • They can take some risk if they are confident that they have analyzed the circumstances well.


You And Daniel

Personality Compatibility


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