Kathy Taylor, as the Director of Compliance at World Financial Group (WFG), brings over 20 years of extensive experience in managing corporate operations with a keen focus on regulatory adherence and risk management. Her role is pivotal in ensuring that WFG not only meets but...
Kathy Taylor, as the Director of Compliance at World Financial Group (WFG), brings over 20 years of extensive experience in managing corporate operations with a keen focus on regulatory adherence and risk management. Her role is pivotal in ensuring that WFG not only meets but exceeds compliance standards, fostering a culture of trust and integrity within the organization. Kathy leads the development of a comprehensive compliance risk assessment, which is instrumental in refining the annual auditing and monitoring (A&M) plan. This strategic initiative allows for the optimal allocation of A&M resources, ensuring that compliance efforts are both effective and efficient.
Kathy's expertise in financial management and her adept leadership techniques empower her to execute robust auditing, monitoring, and testing activities that measure the effectiveness of the regulatory compliance program. Her proactive approach to compliance includes monitoring trademark infringement, safeguarding WFG's intellectual property, and maintaining the company's reputation in the financial services industry.
With a strong foundation in securities, evidenced by her Series 7 and Series 63 licenses, Kathy excels in team leadership and public speaking, effectively communicating compliance strategies across various departments. Her commitment to customer service and strategic planning not only enhances agent relations but also drives the company’s mission of providing trustworthy financial solutions. Through her collaborative efforts, Kathy Taylor continues to build strong relationships across teams, ensuring that WFG remains a leader in the financial sector while upholding the highest standards of compliance and ethical conduct.
