L. Stephen Younger

Experience

Registered Investment Advisory Firm, Salem, Oregon

Chief Compliance Officer (01/09 - pres)

  • Performed risk assessments and analyses of current procedures and practices to identify areas for improvement.
  • Developed and implemented a system of forensic and transactional testing designed to detect operational deficiencies.
  • Regularly reviewed testing results and addressed potential areas of concern through procedural adjustments and staff training.
  • Developed and maintained firm-wide policy and procedures manuals.
  • Acted as liaison with and point of contact for regulatory agencies and examination personnel.

Director of Operations (11/06 - pres)

  • Researched, implemented and maintained office systems (server, wired network infrastructure, desktop computers, backup, and disaster recovery).
  • Provided onsite and remote staff training and support in existing and new office technologies and software.
  • Researched and implemented best practices for client service.
  • Performed investment and retirement analyses and prepared presentation materials related to results.

AlaskaUSA Trust Company, Anchorage, Alaska

Institutional Services Manager (12/04 - 06/06)

  • Administered trust and IRA programs for AlaskaUSA Federal Credit Union.
  • Acted as primary point of client contact for account issues and technical needs.
  • Co-authored operational training manuals and provided on-site instruction for credit union personnel.
  • Opened and administered custody and safekeeping accounts for a nationwide network of corporate credit union clients.

Trust Systems Administrator (12/03 - 12/04)

  • Provided mid-level onsite and remote technical support to trust company personnel and corporate clients.
  • Acted as liaison with Information & Technology personnel.
  • Maintained systems and ensured software compliance.

Administration Officer (01/03 - 12/03)

  • Answered member and client inquiries regarding IRA regulations and programs.
  • Prepared and distributed operational procedures and training materials.
  • Assisted in the administration of self-directed investment accounts.

AlaskaUSA Federal Credit Union, Anchorage, Alaska

Account Control Officer (01/01 - 01/03)

  • Assisted in the administration of AlaskaUSA FCU member IRA program.
  • Supervised the processing of fraud, forgery and deceased member claims.
  • Developed and maintained operational and member service databases.
  • Aided in the preparation and implementation of operational procedures and training materials.

Member Service Representative (09/99 - 01/01)

  • Provided support for Credit Union members with accounts, products and services.
  • Trained and assisted other representatives with complex issues related to deposit insurance, trusts and estates.

Proficiencies

  • Client Service
  • Conflict Resolution
  • Problem Solving
  • Office Technologies
  • Network Administration
  • Professional Presentation
  • Data Analysis
  • Technical Writing
  • Report Preparation
  • Compliance Review
  • Staff Development
  • Project Management

Professional Development

2014 Chief Compliance Officer Award of Excellence

Ascendant Compliance Management & BAM Advisor Services

NASAA Series 65

Uniform Investment Advisor Law Examination

Cannon Financial Institute

Comprehensive Wealth Management and Trust

The Dale Carnegie Institute

Human Relations & Public Speaking

Publications

"Tips to Help Protect Yourself From Identity Theft"

The BAM Alliance, September 2014

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