Tom Delaney in

Tom Delaney

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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

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Communication Style
Decision Approach
Work Preference

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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

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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

Dominance, influence, steadiness, and calculativeness scores with guidance on how this person prefers to communicate and decide.

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