Sander Ressler, Managing Director of Essential Edge Compliance Outsourcing Services, LLC, has broad and deep expertise in compliance, supervision and operations – including more than 20 years of hands-on, frontline experience with broker-dealers and registered investment advisers. Sander began his career working for a regulator and subsequently served in senior compliance positions for financial services firms including American Express, American General Life Insurance, AIG, ING, and Société Générale S.A. He has led more than 20 regulatory examinations conducted by the SEC, FINRA and various state departments governing banking, securities, and insurance.
Since launching his own consulting company, Sander has assisted financial institutions with a wide range of outsourced compliance-related services, such as updating written supervisory procedures, conducting branch office inspections, conducting AML and 3130 exams, and approving advertising, and electronic correspondence.
Sander has been sought out by numerous industry publications, including InvestmentNews and wealthmanagement.com. He is a Regulatory & Compliance Affairs Columnist with Wealth Solutions Report, a leading B2B wealth management industry media outlet.
Sander has held the Series 3, 4, 7, 8, 9, 14, 24, 53, 63 and 65 licenses.
To view Sander’s CV, click here. To view Sander’s Broker Check Report, click here.