Tom Anderson

Experience

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  Ball in the House, LLC

  Nov 2002 - Mar 2003

  Vocalist

  Toured domestically and internationally as a member of full-time performing and recording vocal ensemble with national promotion and distribution contracts.

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  Random Notes LLC

  Jan 2005 - now

  Owner/Creative Director/Lead Arranger

  Own, operate, and create for boutique music firm specializing in contemporary a cappella arranging and education. Write custom arrangements for a wide variety of musical artists ranging from high school and collegiate ensembles to major label artists and Grammy winners. Work has appeared on releases by artists including Peter Hollens, the Swingle Singers, Committed, Brian Wilson (of the Beach Boys), and multiple ICHSA champions and ICCA finalists, as well as on NBC's "The Sing-Off", on Royal Caribbean Cruise Lines, and at major theme parks such as Epcot, SeaWorld, and Busch Gardens. Present workshops and master classes at vocal music festivals around the country, oversee the day-to-day operations of Random Notes, and provide affection and occasional enrichment to a large, good-natured cat. Show less

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  Hon. John R. Solien

  Jun 2006 - Jun 2007

  Judicial Law Clerk

  Researched legal issues, composed findings of fact and memoranda of law, and drafted orders for a judge in State District Court.

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  Herrick & Hart

  Jun 2007 - Oct 2010

  Attorney

  Specialized in estate planning, real estate, and business law matters for high- and ultra-high-net-worth clients. Practice also included significant general litigation, public defender appointments, and some appellate work.

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  Bakke Norman, S.C.

  Oct 2010 - May 2011

  Attorney

  Represented clients in family law and criminal defense matters for a general practice litigation firm. Prosecuted municipal offenses for city of Prescott, Wisconsin.

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  Southminster Presbyterian Church

  Sept 2015 - now

  Music Director

  Direct all facets of music ministry for a mid-sized suburban parish, including planning and leading the musical components of worship services, directing the adult choir, recruiting and supervising volunteer musicians, and accompanying worship services on piano and organ.

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  LaSalle St. Securities

  Nov 2017 - May 2021

  Compliance & Trading Operations Principal

  COMPLIANCE AND TRADING OPERATIONS PRINCIPAL (2018-2021)• Principal architect of BI solutions for proprietary asset management platform with ~$100 million AUM; day-to-day lead on structuring and executing trades for platform• Conduct branch and OSJ audits to ensure compliance with both external regulatory requirements and the firm’s internal policies and procedures• Reviewed and approved indexed annuity, alternative investment, and new account applications, as well as field force retail communications, websites, and social media• Researched and diagnosed potential TRACE violations• Executed domestic and international equity, option, mutual fund, and fixed income trades• Maintained Access database of insurance licensures and carrier appointments; continued to provide many aspects of insurance division support (below)INSURANCE SERVICES MANAGER (2017-2018)• Provided principal-level back office support in fixed insurance space for field force of 170+ agents• Reviewed and approved fixed indexed annuity contract applications• Tracked and directed commissions• Resolved sales/licensing/compliance/product inquiries• Wrote monthly column on current insurance topics for firm newsletter• Created recruiting content and acted as point of contact for prospective lateral agents Show less

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  Mack Investment Securities, Inc.

  Jun 2021 - May 2022

  Chief Compliance Officer

  As CCO for a small broker-dealer/investment advisory firm, I translated regulations into actionable procedures for our team by:• Familiarizing our personnel with the applicability and requirements of new regulatory developments (lately, e.g., Regulation Best Interest and PTE 2020-02);• Maintaining and implementing our firm's written supervisory procedures;• Administering our AML, KYC, and CIP functions, including coding VBA solutions to modernize our 314(a) response procedures;• Composing all CRD/IARD filings and responses to regulatory exam findings;• Conducting branch audits and ensuring remediation of any deficiencies;• Reviewing account applications, communications, and trading activity;• Partnering with our CEO to create a firm-wide culture of compliance; and• Being our team's first phone call for compliance questions great and small. Show less

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  TJM Institutional Services

  Jul 2022 - Sept 2022

  Chief Compliance Officer
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  FINRA

  Sept 2022 - now

  Associate Principal Analyst, Membership Application Group