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Michele Comarsh-Hein
VP LPL Financial
Professional Background
Michele Comarsh-Hein is a distinguished financial services professional currently serving as the Vice President of Project Management within LPL Financial's Program Delivery Office. Since November 2015, she has played a pivotal role in steering some of the company’s key strategic initiatives, demonstrating a robust commitment to project management excellence and organizational effectiveness. Her extensive expertise and leadership in Compliance, Risk Management, and Project Management underline her significant contributions to her field.
Before taking on her current role, Michele accumulated a wealth of experience within LPL’s Governance, Risk, and Compliance (GRC) division. Here, she excelled in various critical functions including Technology Compliance Management and Project Management, where she was instrumental in ensuring system compliance, quality assurance testing, and overseeing the management of electronic communication systems.KEY: compliance, project management, governance, risk, financial services.
Michele’s proficiency in Project Management is particularly noteworthy. She has successfully coordinated several initiatives, including Kaizen and Ideation practices, which are designed to enhance efficiency and cultivate innovation within teams. Furthermore, she played a foundational role in establishing the first FINRA Rule 3012/3013 process, showcasing her ability to drive compliance with regulatory standards and best practices. Under her leadership, the Project Management Office for Compliance has thrived, enabling seamless operations and improved project outcomes.
In her earlier roles within LPL Financial, Michele contributed significantly to the Internal Audit operations by crafting comprehensive audit plans and conducting audits that scrutinized operational and registration processes. Her meticulous approach to Compliance Management involved supervising the San Diego Compliance Department, developing robust policies and procedures, and creating valuable training programs for advisors and staff. Michele's proactive stance in compliance has positioned her as a resource for regulatory inquiries and customer complaints, reflecting her unwavering dedication to service excellence.
Education and Achievements
Michele Comarsh-Hein holds a Bachelor of Arts (BA) degree in Business Economics from the University of California, Santa Barbara (UCSB). This educational background has provided her with a solid foundation in economic principles, which informs her strategic decisions and management practices in her roles. Michele has further enhanced her professional qualifications by obtaining multiple financial licenses, including Series 3, 7, 63, and 24, as well as completing the Certified Regulatory and Compliance Professional (CRCP) course. These credentials showcase her specialized knowledge in compliance and regulatory practices within the financial industry.
Michele’s dedication to continuous improvement and professional development is evidenced by her extensive career history, where she has consistently taken on challenging roles that augment her skills and expertise. Her previous positions, such as Compliance/Governance, Risk and Compliance at Linsco/Private Ledger and Compliance Examiner at First Affiliated Securities, have equipped her with a profound understanding of regulatory frameworks and compliance nuances. This experience has been instrumental in her current role and allows her to navigate complex compliance landscapes effectively.
Achievements
Throughout her career, Michele has demonstrated a series of notable achievements that underscore her leadership capabilities and commitment to compliance excellence. Some of her highlighted accomplishments include:
- Leadership in Regulatory Compliance: Michele created and led processes in compliance with FINRA regulations, thereby ensuring that her teams adhere to stringent regulatory requirements and maintain robust compliance standards across operations.
- Project Implementation Success: As a key player in Project Management, Michele spearheaded major initiatives that enhanced operational efficiencies and improved compliance frameworks, contributing to LPL's overall effectiveness and risk management strategies.
- Policy Development: Michele's ability to develop, rewrite, and implement essential firm policies has led to improved operational consistency and reduced risk exposure, reflecting her comprehensive understanding of the compliance ecosystem.
- Training and Development: Her commitment to enhancing knowledge within her team is exhibited through her innovative training programs for advisors and staff, which equip them with the necessary tools to navigate the compliance landscape confidently.
- Licensing and Certifications: Michele's achievement of various licenses, including Series 3, 7, 63, & 24, alongside her completion of the CRCP course, exemplifies her dedication to education and professional development within the compliance sector.
In conclusion, Michele Comarsh-Hein is a respected leader in financial services, combining her educational background and immense professional experience to drive successful outcomes in project management and compliance. Her leadership role as Vice President of Project Management at LPL Financial positions her at the forefront of organizational strategy, compliance adherence, and operational excellence. Michele continues to inspire her colleagues and the industry with her commitment to fostering compliant, efficient, and well-managed financial operations.
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