Wannetta has joined Waystone team as an Associate Director, bringing more than 30 years of experience in compliance and financial services.
She started her career at TD Securities USA LLC where she was responsible for certain compliance functions for the broker-dealer and branch offices. As the Compliance Administrator/Registration Officer she managed a wide range of financial services which included broker-dealer registration, branch office registration, employee registration life cycle, cross-border licensing and registration, compliance program development and modernization, regulatory compliance (FINRA, SEC, NFA and CIRO), regulatory filings and training and development initiatives.
Before joining Waystone, Wannetta worked as a Consultant with ACA Global where she collaborated with broker-dealer clients to implement their compliance and supervisory programs, development of their continuing education programs, regulatory filings, CE Needs Analysis and Training program, firm and associated persons’ registrations, state and jurisdiction registration, NMA’s, CMA’s, 3110/3120 and AML audits, and various other client projects and relationships. Prior to ACA, Wannetta has held senior roles at leading global institutions, including SMBC Nikko Securities, Barclays Capital and J.P. Morgan Chase and National Bank of Canada Financial Inc.
Wanetta holds a bachelor’s degree in Political Science from the University of Louisiana and a MS in Administration from Metropolitan College of New York.
