|
Biography Functioning as a Compliance Officer, Candice works under Stephanie Beach to develop, update, and execute the firm’s compliance and internal auditing initiatives to ensure that the firm remains in compliance with all FINRA and SEC regulations. The compliance department is further responsible for adhering to provisions of the USA Patriot Act and monitoring internal activities as related thereto, including OFAC, Fincen 314 (a) lists, CTRs, SARs, and CIP. Candice handles the licensing, registration, and training of MICG’s representatives and oversees new business and client account trading activity.Candice comes to us from First Command Financial Planning, Inc. and brings with her savvy operational and field office experience, as well as a sincere commitment to client care. She started at MICG as a Client Operations Specialist in 2006 and has since earned the Series 24 General Securities Registered Principal license. A 2006 graduate of Old Dominion University, she holds a BSBA in Economics and is proficient in Spanish as a second language. Candice also participates in the annual Special Olympics Polar Plunge, plays co-ed softball with MICG’s recreational league team, and is a member of Foundry United Methodist Church in Virginia Beach. She currently resides in Hampton, VA. | 