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Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Vicki Kean

Regulatory Compliance Professional

Vicki Kean is a Regulatory Compliance Professional at CRC with over 20 years of experience in the financial services industry.  Prior to joining CRC, Vicki served as the Chief Compliance Officer and Vice President of Rep Resources for two affiliated independent broker-dealers specializing in complex product offerings.  In this capacity, Vicki not only oversaw the general compliance program but also led the supervision, operations, and training efforts. 

Most recently, Vicki spent the last seven years at Transamerica as a Compliance Analyst where she was responsible for the general compliance program, developing and maintaining policies and procedures, business continuity planning, due diligence, regulatory filings, and risk analysis.

Vicki maintains Series 7, 63, 53, and 24 securities licenses.

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