Kelley Tyger
Compliance Officer - Internal Controls at Regional Broker Dealer
📍 Henrico, Virginia, United States
Kelley Tyger is an Investment Compliance and Supervisory Principal specializing in managed account and trading oversight for dual broker-dealer and RIA environments. She holds Series 4 and 24 licenses, bringing expertise in internal controls from her experience at a regional broker-dealer. She earned her bachelors degree at Virginia Commonwealth University.
She holds both the Series 24 General Securities Principal and the Series 4 Registered Options Principal licenses.
Read the full overview →Experience
12 Years
Current Role
Compliance Officer - Internal Controls
Location
Henrico, Virginia, United States
Personality Overview
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Priorities
Topics Kelley cares about
Investment Compliance
Her primary role is Compliance Officer, where she focuses on internal controls, supervision, and adherence to regulations in a dual BD/RIA setting.
Trading Oversight
Her headline and past experience as an Asset Management Trader indicate a strong background in the supervision and operational aspects of trading.
Career
Work history
6-2023
Compliance Officer - Internal Controls
Regional Broker Dealer
6-2021 - 6-2023
Asset Management Trader and Service Associate
Regional Broker Dealer
6-2017 - 4-2021
Junior Overlay Manager
BB&T Scott & Stringfellow
12-2013 - 6-2017
Fee-Based- Product Support
BB&T Scott & Stringfellow
In the press
Media appearances
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Education
Bachelor's degree
Virginia Commonwealth University
Social presence
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