Who's Moving Where In Wealth Management? – Argent, Compliance Risk Concepts

Editorial Staff

12 July 2022

Argent Financial Group
Argent Financial Group, the fiduciary wealth management firm operating in the Southern states of the US, has hired Annaliese Russell as internal auditor.

Russell will be based in the Ruston office, focusing on providing objective evaluations of financial and operational functions. She will report directly to Kimberly Breithaupt, chief audit executive. Before joining Argent, Russell served as a risk management intern for Federal Deposit Insurance Corporation in Shreveport, Louisiana. She assisted FDIC professionals in performing bank audits including evaluating planning, operations, risk management and consumer protection practices. Russell also managed banking practices and procedures in compliance with laws and regulations.

Compliance Risk Concepts
Compliance Risk Concepts, a group providing financial services for senior compliance professionals and executives, has appointed a former senior FINRA figure, Jonathan Telfair, as its associate director of broker-dealer registration.

Telfair was former application manager and principal examiner at the FINRA Membership Application Program, or “MAP.”

Compliance Risk Concepts has also recently appointed financial services executive Darren Norwood and promoted long-time CRC team member Kaitlyn Gibbs. CRC has onboarded more than a dozen members to its team since 2020. Norwood is CRC's new associate director of engagement, overseeing and managing client relationships. Gibbs, who has been with the firm since 2017, will now serve as associate director of investment advisory engagement management and regulatory research.