Wealth management
10 financial services marketing compliance experts
These ten professionals have run marketing and advertising compliance review at financial services firms. A reader can learn how financial firms review marketing and advertising materials against regulatory rules.
Professionals to explore
01—10Andrew Sponable
LinkedInExperience: VP Marketing Compliance Manager · AllianceBernstein
VP Marketing Compliance Manager at AllianceBernstein since 2019, a role the profile describes as directly reviewing and approving marketing materials or providing guidance and oversight for this function. Former Marketing Compliance Manager (2018–2019) and Marketing Compliance Analyst (2014–2018) at OppenheimerFunds.
Derek Stern
LinkedInExperience: AVP, Head of Global Distribution Compliance · Manulife John Hancock Investments and Retirement
AVP, Head of Global Distribution Compliance at Manulife John Hancock Investments and Retirement since 2017, where the profile describes leading the Distribution Compliance Center of Expertise and overseeing the global compliance program for marketing and distribution activities. Former Chief Compliance Officer Director, PRM Compliance at Putnam Investments (2006–2016) and Vice President Compliance Officer at State Street (2002–2006).
Diane Castellon
LinkedInExperience: Head of Advertising Review · Cetera Financial Group
Head of Advertising Review at Cetera Financial Group since 2014, and Advertising Compliance Analyst there since 2006 per the work history. Former Supervisor, Brokerage Operations at ING (2001–2006). The profile places the Head of Advertising Review role in the Marketing department at the Head level.
Donna Bryen
LinkedInExperience: Director of Advertising and Marketing Compliance · Lord Abbett
Former Director of Advertising and Marketing Compliance at Lord Abbett (2000–2018). Senior Compliance Officer at Man Group since 2019. Former Assistant Vice President-Legal Compliance at Macquarie Asset Management (1997–2000). The profile cites an understanding of FINRA and SEC regulations and the U.S. federal securities laws.
Joy Embrey
LinkedInExperience: Director, Sr. Marketing Principal · UBS
Director, Sr. Marketing Principal at UBS since 2024, a role the profile says focuses on advertising review and securities regulation, ensuring adherence to FINRA/SEC rules across product offerings and services. Former Regulatory Analyst, Advertising Regulation at FINRA (2020–2022) and Senior Analyst, Legal & Compliance at The Carlyle Group (2022–2023).
Matthew Aaron Snyder
LinkedInExperience: Vice President and Head of Marketing Review-US · BNY
Vice President and Head of Marketing Review-US at BNY since 2025 and Vice President, Compliance there since 2019. Former Director, Marketing Review at Prudential Financial (2007–2011) and AVP, Compliance Manager at Allianz Global Investors (2012–2017). The profile cites a focus on securities, investment advisory, insurance and annuity regulation.
Peter Knezevich II, CFP®
LinkedInExperience: Director, Marketing Compliance · Charles Schwab
Director, Marketing Compliance at Charles Schwab since 2021. Former Senior Manager, Communications Compliance at Charles Schwab (2017–2021), where the profile describes reviewing marketing and advertising for broker-dealer and investment advisor communications, and former Compliance Supervisor Advertising Review at Raymond James (2014–2016).
Sandy Ho
LinkedInExperience: Executive Director, Head of Marketing Compliance (prev Vice President, Marketing Compliance) · Morgan Stanley
Former Executive Director, Head of Marketing Compliance (prev Vice President, Marketing Compliance) at Morgan Stanley (2014–2025), and former Director, Compliance Analyst at Morgan Stanley (2007–2012). The profile describes a senior compliance leader for asset management and lists General Securities Representative (Series 7) among its credentials.
Stephen Bard
LinkedInExperience: Managing Director, Marketing Chief Compliance Officer Wells Fargo Wealth & Investment Management · Wells Fargo
Managing Director, Marketing Chief Compliance Officer Wells Fargo Wealth & Investment Management at Wells Fargo since 2015. Former Director of Communications Compliance, SVP (2013–2015) and Manager Compliance Advertising Review, SVP (2009–2013) at Wells Fargo Advisors, and former Director Marketing Review, 1st VP at Wells Fargo (1998–2003).
Thomas Batters
LinkedInExperience: Global Head of Marketing Compliance · State Street Investment Management
Global Head of Marketing Compliance at State Street Investment Management since 2025, and former VP, Business Controls there (2014–2025). The profile describes a FINRA Registered Principal with a background in broker-dealer compliance and sales and marketing supervision, and states a commitment to helping firms produce promotional messaging consistent with applicable rules.
Choose the right perspective
Match the person's firm type to yours, since reviewing retail brokerage advertising differs from reviewing institutional or fund marketing for an asset manager. Ask each person how their review team was staffed and how they handled turnaround times and escalations, so you can judge whether their process would work at your volume.
Questions to take into the conversation
- 01How did you set up the marketing review workflow so that materials were approved quickly without missing regulatory issues?
- 02How did you apply the SEC marketing rule and FINRA communications rules to performance claims and testimonials?
- 03How did you handle social media and digital content, and what controls did you put around them?
Reaching financial services marketing compliance experts
How can I contact one of these financial services marketing compliance experts?
Pick one of the 10 people on this page and choose "Book a paid call", or describe your project to find others. You offer a fee for a 15-minute call or a written answer, Instant Expert finds the person's work email and sends the invitation, and they decide whether to accept. The list covers 10 companies, including AllianceBernstein, Manulife John Hancock Investments and Retirement and Cetera Financial Group, based on profile data retrieved on October 4, 2026. Being listed here doesn't mean someone has agreed to take calls.
How much does it cost to reach financial services marketing compliance experts?
You choose the offer, starting at $5 per person. It includes Instant Expert's 20% fee, so an offer that pays the person $100 costs you $125. You're charged only when the person books the call or sends the answer.
What if they don't reply?
You pay nothing. Instant Expert sends follow-up reminders, and if the person hasn't booked or answered within 7 days, the request expires and any hold on your card is released. You can invite several of the 10 people on this list at once and cap your total spend, so you pay only for the ones who accept.
About this directory
This is a professional research starting point based on business profile data retrieved on . Titles and companies reflect that source snapshot and may describe past or present roles. Check the linked profiles for current details. Inclusion does not imply Instant Expert membership or availability.
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