Luis JimenezHead of Compliance

    Luis has more than 20 years of experience of working in compliance and financial roles in different areas of the financial industry including; securities, banking, trading, retail and oil & derivatives. Prior to joining The Strategic Group,he worked for a major International Broker Dealerfor over 10 years. He worked as a Financial Analyst, Compliance Officer (Series 7, Series 24), Administrative Principal (Series 7, Series 24) & as a S&E Manager (Series 7, Series 24). Prior to this he worked as Financial Advisor covering Securities and Insurance offerings. In his roles as Compliance Officer, he worked to develop and implement compliance and process management programs. As Principal, he worked in supervision of sales practices in compliance with FINRA (former NASD) regulation. Luis has built a broad diverse skillset beyond the compliance role including management, creating financial models, financial planning & project management. He currently holds a Series 3 and is an Attorney-Notary admitted to practice in the Commonwealth of Puerto Rico. He has a BBA in accounting, an MBA in Finance and is a Juris Doctor.

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