Daniel S. in

Daniel S.

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Chief Compliance Officer at Sammons Financial Group Companies
📍 Iowa City-Cedar Rapids Area, United States

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.

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Experience
16 Years
Current Role
Chief Compliance Officer
Job Level
Leadership
Location
Iowa City-Cedar Rapids Area, United States
Personality Overview

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Communication Style
Decision Approach
Work Preference

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Priorities

Topics Daniel cares 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.
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Career

Work history

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

Media appearances

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Education
2017 - 2021
Master of Business Administration - MBA
Mount Mercy University
2005 - 2009
Bachelor of Arts (B.A.)
Coe College
Social presence
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Behavioral profile

DISC profile (public)

DISC behavioral profile

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