Tom Delaney in

Tom Delaney

Energizer · DISC type I
SVP, Compliance Services at Kestra Financial
📍 Austin, Texas, United States

Tom Delaney is a seasoned financial services executive with over 30 years of experience in risk management and regulatory compliance for brokerage, banking, and insurance firms. He currently serves as the SVP of Compliance Services at Kestra Financial. Tom holds a Master of Science in Enterprise Risk Management from Boston University and has completed executive education at The Wharton School.

He is a Course Facilitator at Boston University, mentoring others in the field of financial services.

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

How Tom shows up

Relationship Oriented
Imaginative
Full Of Energy

They are not always early adopters but can be pursuaded by leveraging strong relationships. They are naturally enthusiastic, so take their promise with a pinch of salt. They excel at seeing the bigger picture, and the long-term impact of their decisions.

Priorities

Topics Tom cares about

Enterprise Risk Management
His career focuses on developing progressive risk and compliance programs. He holds an M. S. in Enterprise Risk Management from Boston University and is an Advanced CAMS specialist.
Financial Services Compliance
He has extensive experience building compliance and AML programs for broker-dealers, banks, and insurance companies, serving as Chief Compliance Officer at multiple firms.
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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

No media yetWe could not find public media appearances for this person.
Education
2020 - 2022
Master of Science - MS
Boston University
Executive Education - Securities Industry and Financial Markets Association (SIFMA)
The Wharton School
Social presence
in
Behavioral profile

DISC profile (public)

I

Influence (I)

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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