Chief Compliance Officer
Bobby Kelly serves as the Chief Compliance Officer for Advisory Group Equity Services Ltd. He is responsible for overseeing compliance within the broker-dealer, and ensuring compliance with laws, regulatory requirements, policies, and procedures.
Bobby has worked with the Advisory Group Equity Services Ltd. compliance and operation departments for over 10 years, contributing to a track record and culture of compliance excellence. Before taking on the role of chief compliance officer, Bobby served as the Operations Manager for 5 years, where he made a strong impact establishing well controlled processes that positively impact customer experiences through the foundation of effective business operations.
As chief compliance officer, Bobby focuses on defining the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization, implementing the annual compliance work plan that reflects the our organization’s unique characteristics and managing all day to day matters involving compliance.