Nicole Spitzley

Current Role

As chief compliance officer, Nicole oversees Rehmann Wealth Management’s compliance program, ensuring effective implementation of its policies and procedures and adherence to applicable rules and regulations. She focuses on devising strategies to drive service excellence and create a culture of compliance. She is responsible for designing, implementing, managing, and monitoring the firm’s compliance program. This includes creating, maintaining, and monitoring policies and procedures for compliance with current regulations and industry best practices, ensuring all regulatory reports are properly prepared and filed on a timely basis, leading in-house compliance education efforts across the firm and implementing an effective compliance testing regimen. Nicole also works with the executive management team to stay abreast of trends in the legal/regulatory environment and assess the impact to the organization.

Service Areas

• Regulatory compliance
• Leadership development
• Process improvement

Experience

Nicole joined Rehmann in 2008. She specializes in regulatory compliance for investment advisors and broker-dealers. Working to balance the risk and reward challenges within the tightly regulated financial sector, Nicole and her team actively seek to influence policy, rules, and laws that may impact financial professionals and their practice.

A Closer Look

Nicole is a member of National Society of Compliance Professionals. She also holds the following licenses:

• FINRA Securities Industry Essentials Examination (SEI)
• FINRA General Securities Representative (Series 7)
• FINRA General Securities Principal (Series 24)
• FINRA Introducing Broker/Dealer Financial Operations Principal (Series 28)
• FINRA registered Uniform Combined State Law (Series 66)

To learn more about the professional history of our financial advisor(s), please visit FINRA’s BrokerCheck.

Investment advisory services offered through Rehmann Wealth, a Registered Investment Advisor. Securities offered through Rehmann Financial Network, member FINRA/SIPC. 4086 Legacy Parkway, Lansing, MI 48911 | 517.316.2400