Mike Ament leverages more than 20 years in the financial services industry to help Essential Edge clients meet their regulatory obligations. Mike focuses on branch inspections, while also supporting clients on a range of additional outsourced compliance engagements, including advertising review and electronic communications review.
Mike comes to Essential Edge from Cetera Financial Group, where as a Compliance Analyst he conducted on-site branch inspections nationally.
Previously, as Senior Compliance Examiner at Cambridge Investment Research, Inc., he handled all aspects of branch exams from scheduling to remediation. He was recognized as management’s auditor of choice for investigations, for cause audits and audits of concern. In addition, he created user friendly guides and coached team members on how to optimize public records and online searches to inform more robust pre-work and audit findings.
He holds Series 6,7, 24, 63, and 65 licenses.
