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Daniel Rome
Attorney & Business Owner
Professional Background
Daniel Rome is a highly skilled and accomplished compliance professional with over twenty years of robust experience in various sectors of finance and compliance. His extensive background encompasses a multitude of industries, including Mutual Funds, Insurance, Broker/Dealers, Investment Advisors, and Market Makers. Daniel has dedicated his career to ensuring the highest standards of compliance and risk management, successfully navigating the complexities of regulatory environments and developing effective policies and procedures tailored to each organization's unique needs.
Throughout his career, Daniel has held several prominent positions that underscore his expertise in securities compliance and risk management. As the Business Owner of DCR Consulting Services, LLC, he provides specialized consulting services that help clients meet compliance obligations while also optimizing their operational efficiencies. His prior roles, including Vice President of Compliance Services at AdvisorAssist and Vice President of RIA Compliance Consulting at LPL Financial, highlight his leadership capabilities and commitment to enhancing compliance practices within the financial sector.
Daniel's professional journey also includes critical roles such as the Associate Attorney in Securities Litigation at Motley Rice LLC and Compliance Manager for Equity Market Making at Automated Trading Desk (ATD). His depth of experience allows him to dissect and elucidate complex compliance issues, fostering understanding among Corporate Principals, Union Leaders, and individual clients alike.
Not only does Daniel excel in compliance, but he also embodies dynamic interpersonal skills and a strategic vision that enhance his ability to effectively communicate and influence stakeholders across all levels. This combination of skills positions him as a trusted advisor in compliance-related matters, making him invaluable to organizations seeking to navigate today’s intricate financial landscape.
Education and Achievements
Daniel Rome's educational journey laid a strong foundation for his distinguished career. He studied Law at the Widener University School of Law, where he honed his legal acumen and developed a profound understanding of the complexities of regulations that govern the financial industry. Concurrently, he earned his Bachelor of Arts in Psychology from West Chester University of Pennsylvania. This unique combination of legal knowledge and psychological insight allows Daniel to approach compliance with a comprehensive perspective, enhancing his capacity to communicate effectively and empathetically with clients and colleagues alike.
In addition to his educational background, Daniel is also a Certified Six Sigma Green Belt with a focus on Design for Six Sigma (DFSS). This certification reflects his commitment to excellence and continuous improvement in processes, further establishing his credibility in compliance and risk management. His proficiency is further evidenced by multiple FINRA qualifications, including Series 7 (General Securities Representative), Series 24 (General Securities Principal), and Series 66 (Uniform Combined State Law Examination), as well as his status as a FINRA Arbitrator. Daniel's professional designations attest to his ongoing commitment to remaining informed and strategically adept within his field.
Daniel's role in the AML Strategic Leadership Group is indicative of his forward-thinking approach and dedication to addressing emerging compliance challenges in the finance industry. Through this participation, he demonstrates his proactive stance on mitigating risks associated with Anti-Money Laundering and bolstering the integrity of financial systems.
Achievements
With a career marked by achievement and recognition, Daniel Rome is a well-respected figure among his peers in the compliance industry. His tenure at various prestigious financial institutions, including Banc of America Investment Services, Inc. and The Vanguard Group, has enabled him to develop comprehensive compliance frameworks that not only ensure regulatory adherence but also enhance operational performance.
Daniel's influence extends beyond mere compliance; he is recognized for his ability to lead teams effectively, implement innovative solutions, and champion comprehensive risk management strategies. His past roles as Compliance Consultant and Project Manager have equipped him with the necessary skills to take on complex compliance challenges with a strategic mindset and meticulous attention to detail.
As someone who actively engages with and shapes compliance discussions, Daniel has become a key voice within the financial compliance community. His ability to convey intricate regulatory frameworks to diverse stakeholders has been instrumental in bridging the gap between compliance requirements and practical operational applications, making him an asset to any organization.
Conclusion
In summary, Daniel Rome stands out as a consummate compliance professional with an expansive career characterized by impressive skills, extensive experience, and a commitment to excellence. His educational background in Law and Psychology, combined with his broad-ranging expertise in securities compliance and risk management, equips him to navigate the complexities of regulatory challenges in today's fast-paced financial environment. Daniel's dynamic interpersonal skills and strategic vision position him as a valuable asset to any organization seeking to enhance its compliance capabilities while fostering an understanding of regulatory obligations across various industries.
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Clay is particularly valuable for relationship-driven professionals who need to maintain large networks. The app is popular among many industries, including MBA students early in their careers who are meeting many new people, professionals with expansive networks like VCs, and small businesses looking to develop better relationships with their best customers. Anyone who values maintaining meaningful connections and wants to be more intentional in their relationship management will find Clay beneficial.
Clay offers competitive pricing in the personal CRM market. Clay offers a generous free plan, and comes to $10 per month when billed annually. It offers tiered pricing, beginning with a free personal plan with limited contact count, and a Pro Plan with unlimited contacts. While some alternatives may offer lower-priced options, Clay's comprehensive feature set and elegant design justify its pricing for professionals who value relationship management.
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