Tom Delaney in

Tom Delaney

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SVP, Compliance Services at Kestra Financial
📍 Austin, Texas, United States

Tom Delaney is the SVP of Compliance Services at Kestra Financial, bringing over 30 years of experience in the financial sector. He specializes in developing progressive risk management and regulatory compliance programs. He holds an MS from Boston University and has completed executive education at The Wharton School.

Outside of his primary role, Tom is a Course Facilitator at Boston University. This reflects a commitment to developing people and shaping the next generation of financial services professionals, blending his extensive industry experience with a passion for education and mentorship.

Unique fact: Tom is a Certified Fraud Examiner and holds an Advanced CAMS certification in Risk Management.

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Current Role
SVP, Compliance Services
Location
Austin, Texas, United States
Personality Overview

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Communication Style
Decision Approach
Work Preference

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Priorities

Topics Tom cares about

Vendor Due Diligence
He was a featured speaker on vendor due diligence and partnerships at the Financial Services Institute's OneVoice conference, showing it's a key area of focus for him.
Enterprise Risk Management
His career focuses on implementing robust risk and compliance programs based on COSO principles and the "three lines of defense" model.
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Career

Work history

4-2023
SVP, Compliance Services
Kestra Financial
2-2023
Compliance Consultant
Peter Elish Investments Securities
1-2022
Course Facilitator
Boston University
5-2011 - 12-2022
Chief Compliance Officer (2011-2021) | SVP Regulatory Risk & Controls (2021-2022)
First Command Financial Services, Inc.
5-2007 - 5-2011
SVP, Global Chief Compliance Officer
Penson Financial Services
In the press

Media appearances

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Education
2020 - 2022
Master of Science - MS
Boston University
Executive Education - Securities Industry and Financial Markets Association (SIFMA)
The Wharton School
Social presence
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Behavioral profile

DISC profile (public)

DISC behavioral profile

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