Chief Compliance Officer at United Capital Financial Advisors, LLC
📍 La Mesa, California, United States
Sonja Larimore is a Chief Compliance Officer with extensive experience in overseeing SEC regulations and addressing regulatory risks for financial advisory firms. Holding a Doctor of Law degree, she specializes in cybersecurity, policy development, and managing compliance activities.
Outside of her legal and compliance work, Sonja is a Certified Instructor for Jazzercise, demonstrating a passion for fitness and motivation. She also maintains an active interest in her alma mater, San Diego State University, and follows The Wall Street Journal.
She authored a publication on the international legal issue of child soldiering.
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Experience
21 Years
Current Role
Chief Compliance Officer
Job Level
Leadership
Location
La Mesa, California, United States
Personality Overview
How Sonja shows up
Example Seeker
Value Driven
Assertive
They are generally good communicators and can be hard to convince. They can sound friendly and charming but can quickly change gears to become inquisitive and probing. They ask a lot of questions and rely heavily on information and collaterals.
Priorities
Topics Sonja cares about
RIA Compliance
Her entire career is focused on SEC compliance for Registered Investment Advisors, managing policies, procedures, and controls to mitigate regulatory risk.
Cybersecurity & Risk
Lists cybersecurity as a key specialty, focusing on protecting firm and client data as a core part of her compliance responsibilities.
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Career
Work history
11-2023
Chief Compliance Officer
United Capital Financial Advisors, LLC
1-2022 - 11-2023
Senior Compliance Manager
Creative Planning
6-2020 - 12-2021
Chief Compliance Officer
Reilly Financial Advisors
5-2018 - 6-2020
Managing Director, Operations & Compliance
Reilly Financial Advisors
12-2014 - 5-2018
Senior Vice President- Operations and Compliance
Reilly Financial Advisors
In the press
Media appearances
No media yetWe could not find public media appearances for this person.
Influence (I) reflects the degree to which a person prefers to work by influencing or persuading others. Those scoring high tend to be people oriented, motivated by social recognition and building relationships.
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