Brian Dennen Email Address

Senior Vice President, Operations and FINOP Compliance

Our mission at Wealthfront is pretty simple: we believe that everyone deserves access to sophisticated financial advice. Over the past five years, Wealthfront has built a technology company focused on re-architecting the finance industry

Extensive experience with brokerage and advisory program areas including digital investment platforms, regulatory compliance, investment advisory, risk management, trading operations, books and records management, public communications, regulatory reporting, licensing, budgeting and planning, monitoring and testing, technology and data services. Experience with successfully owning and managing large, complex projects with a proven ability to identify risks, manage tight deliverable timelines, and communicate clearly with stakeholders. Strong operations experience with the proven ability to build scalable processes which mitigate risk and increase efficiencies. AREAS OF EXPERTISE Compliance & Risk ▪ Investment Advisory and Brokerage Compliance Programs ▪ Anti-Money Laundering ▪ Regulatory Exams ▪ Code of Ethics ▪ Compliance Oversight ▪ Licensing and registration ▪ Risk & Control assessments ▪ Continuing Education ▪ Comm with public, Social media, advertising and sales literature review ▪ Member Applications (NMA, CMA) Operations ▪ Clearing and settlement ▪ Customer Onboarding (CIP & KYC) ▪ Written Supervisory Procedures & controls Trading ▪ Equities, Options & Futures ▪ Payment for Order Flow ▪ Best Execution ▪ Investment management ▪ FinTech Products Regulatory Reporting ▪ FOCUS reporting (15C3-1) ▪ Customer Reserve (15C3-3) Investment Advisory and Brokerage Compliance LICENSES AND CERTIFICATIONS FINRA Series: 4, 7, 24, 27, 63, 65, 99