Kassondra Hoyt-York is a compliance professional with over 10 years of experience in translating compliance concerns into solutions that improve performance and reduce risk. She has experience across a variety of securities products and providing compliance services to financial advisors. She is adept at working in fast-paced environments while employing strong organizational skills and attention to detail. She is currently seeking team-oriented positions that promote growth and opportunity.

1. Kassondra Hoyt-York
41 Blackhawk Hills Drive – Rock Island IL 61201 / (309) 738- 4787 / khoytui@hotmail.com
Driven compliance professional with experience in translating compliance related concerns into solutions that
improve performance and reduce regulatory risk across an organization. Experience across a variety of securities
related products, including ETF’s, Variable Annuities, REITs,and PrivatePlacements. Ability to provide
professional compliance serviceto independent financial advisors. Adept at workingin a fast-paced environments,
while employing strong organizational skills and excellent attention to detail. Currently focusing on positions that
focuson team-oriented solutions, while promoting personal growth and opportunity.
K E Y S K I L L S
Communications Review
Technology Integrations
Training/Education
Analytic & Critical Thinking
Customer Service
AML/BSA Compliance
Risk Review
Written Supervisory Procedures
Exception Report Review
FINRA Arbitration Process
Customer Complaint Processing
Policy & ProcedureDesign
Accreditation Standards
State Licensing Procedures
Internal Audit Processes
Cybersecurity
Branch OfficeAudits
K E Y S T R E N G T H
Ability to provide realistic
solutions to complex problems.
C U R R E NT L I C E NS E S
Series 7
Series 24
C A R E E R H I G H L I G H T S
C O M P L I AN C E O F F I C E R atAusdal Financial Partners, Inc
Davenport, IA ▪ May 2012 to present
Provideexceptional compliancesupportforamid-size, broker/dealer
and SEC Registered Investment Advisor with over 250 advisors. Working
within the independent contract model, ensured compliance with FINRA,
SEC, and state regulatory requirements.
Maintaina flexible,teamwork-drivenattitudeallowingfor cultivationof
expertise among a variety of complianceareas, including: complaint
processing, licensing, arbitration processes, operations procedures, and
audit preparation.
Provideguidanceoncompliance matterstosupervisors, operations
professionals, financial advisors, and other industry professionals.
P A T I E N T C O O R D IN AT O R atANDERSONDENTAL
Davenport, IA ▪ 2010-2012
Providefront officesupport for a dental practice by scheduling
appointments, handling Accounts Payable/AccountsReceivable, processing
insurance claims, and presenting treatment plans. This position relied on
precision, organization, and customer service.
C O M P L I AN C E A N A L Y S T atMODERNWOODMENOFAMERICA
RockIsland, IL ▪ 2007 – 2010
Worked under the supervision of the Chief Compliance Officertoensure
compliance with AML/BSA procedures. Provided regulatory review of all
home officeand field marketing communications. Obtained Series 6 and 26.
Participated in FLMI Training program—completing 8 of 10 required
courses. Obtain and maintain understanding of state and federal insurance
regulations.
E D U C AT I ON
BACHELOR OF ARTS (B.A.) from the University of Iowa,Iowa City, IA
(1999-2004). Specialization: English