Kevin D. Spence
Chief Compliance Officer and Director of Operations
Kevin Spence is the Chief Compliance Officer and Director of Operations for Cary Street Partners. He has overall responsibility for managing the Compliance, Regulatory Affairs, and BSA / AML programs for the organization.
Before joining Cary Street Partners, Kevin served as the Regional Director of Compliance for HSBC’s Mid-Atlantic Commercial and Investment Banking Units. There he managed all Regulatory Compliance functions for offices along the east coast.
Prior to this role, Mr. Spence spent 15 years at Wells Fargo Bank as a Regulatory Compliance Officer in various departments including Oversight, Policy Governance, and Digital & Online financial services.
Mr. Spence is a certified arbitrator with the Financial Industry Regulatory Authority (FINRA) and holds several securities and finance licenses including Investment Advisor and Securities Sales Supervisor. He is a member of the Securities Industry & Financial Markets Association (SIFMA) – Compliance & Legal Section and the District of Columbia Bar Association’s Corporate, Finance, and Securities Law Section.
He earned his J.D. from Saint Louis University School of Law, and his B.S., cum laudefrom Virginia Commonwealth University. He is admitted to the bar of the District of Columbia.