Pasadena, CA (PRWEB) October 03, 2012
On an annual basis, NRS Education brings together the financial services industry’s top leaders for their Investment Adviser and Broker-Dealer Compliance Conference. This year Western International Securities will be represented by Karen Chung, Director of Risk Management, who will be a member of the panel speaking on “Mastering Critical Skills for High-Performance Compliance Professionals: How to Perform Robust Surveillance.”
With the increasing complexity of the financial services industry, it is crucial that firms have robust risk management programs in place. Karen will share her approach and insights to both the advisory and brokerage business.
Karen is a registered Advisor and has over 13 years of experience in the financial services industry. After graduating from California State University at Long Beach, and prior to joining Western International Securities, she worked in the compliance department at various Broker Dealers. Karen has also worked as a Director for a non-profit and is still an active volunteer in her community. Currently, Karen’s responsibilities at Western include compliance and risk surveillance.
“We’re extremely pleased to have Karen participate as a speaker this year. Her background makes her uniquely qualified to address this group,” said Donald Bizub, Chief Executive Officer of Western International Securities. “Western has over 275 registered representatives and is rapidly growing its business through J.P. Morgan Clearing Corp. and Pershing LLC,” said Bizub.
Western International Securities is among the largest independent broker/dealers clearing through J.P. Morgan Clearing Corp. Through its clearing agreement with J.P. Morgan Clearing Corp. and Pershing LLC, Western is able to provide its Advisors with state-of-the-art financial services and support. Established in 1995, the firm is headquartered in Pasadena, CA and maintains offices in all major financial centers nationwide.
If you’d like more information, please contact Ecri Gutierrez at ecri(at)wisdirect(dot)com or 626-793-7717. Western International Securities, 70 South Lake Avenue, Pasadena, CA 91101, http://www.wisdirect.com.