Rick Resnik has more than 30 years of experience and expertise in compliance and regulatory oversight across BD, RIA, mutual fund, trust company, retirement, and insurance sectors. At Essential Edge, he is leading a growing team of branch inspectors.
He comes to Essential Edge from Transamerica where he was Vice President and Chief Compliance Officer for a variety of entities for more than 20 years. Rick led compliance teams to conduct risk assessments, develop written policies and procedures, monitor, test and report protocols tailored to prevent, detect, and correct specific compliance risks.
Rick served as a key member of senior executive leadership teams responsible for setting business strategy and driving revenue growth, transformation, efficiency, and cost reduction initiatives. He oversaw numerous successful regulatory examinations and inquiries from the SEC, FINRA, the Department of Labor, and the Iowa Division of Banking.
His many high-impact accomplishments include spearheading the development and implementation of compliance programs for numerous entities subject to Rule 206(4)-7, Rule 38a-1, and FINRA requirements, including comprehensive testing and office inspection programs, as well as sub-adviser oversight programs.
In addition to working, Rick enjoys watching sports, exercising, spending time with family and friends, and searching for the best sourdough bread.
Rick holds Series 6, 26 and 53 licenses and the Certified Employee Benefits Specialist designation.
To view Rick’s resume, click here.
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