Title: Vice President of Compliance
Company: Ares Wealth Management Solutions
Location: Littleton, Colorado, United States
Amy N. McBride, vice president of compliance at Ares Wealth Management Solutions, has been recognized by Marquis Who’s Who Top Executives for dedication, achievements, and leadership in financial services.
Across a varied professional journey of nearly 30 years, Ms. McBride has stepped into roles she never would have expected when she started. In 1997, while still attending college, she began working as a student teacher and substitute teacher at the Austin Independent School District and an assistant store manager at Gymboree and The Children’s Place. Ms. McBride took lessons learned as a teacher and retail employee and brought them into the world of finance. In 1999, she was hired as a registered representative by The Charles Schwab Corporation.
Quickly demonstrating her skill, Ms. McBride was promoted to senior registered representative and project manager in 2001. Among other accomplishments during this time, she created a training program for call centers around the country. In this initial tenure at Charles Schwab, Ms. McBride also had her first experiences in compliance, ensuring that the sales process met compliance with U.S. Securities and Exchange Commission (SEC) and National Association of Securities Dealers (NASD) regulations. She recalls that as a trader, she was genuinely afraid of people who worked in compliance and had no idea that she would become fully invested in that area before long.
After leaving Charles Schwab in 2006, Ms. McBride expanded her knowledge of real estate as a buyer specialist and realtor with The Deitz Group of RE/MAX 100 Inc., and her insight into life insurance as a sales support specialist with ING North America Insurance Corporation. In 2008, she assumed her first full-time compliance position as a senior compliance analyst at Janus Capital Group Inc.
Once she had established herself in the compliance field, Ms. McBride returned to Charles Schwab in 2012 as a senior compliance manager with a focus on communications with the public. This second tenure with the company lasted ten years, culminating in a promotion to managing director of communications compliance. During this time, Ms. McBride developed a layered approach to disclosures for a product at Charles Schwab. In a milestone moment in her career, she received a commendation from the SEC for this process, which was praised for providing essential information to those who desired it.
Upon leaving Charles Schwab again in 2022, Ms. McBride briefly operated her own consulting firm before joining Ares Wealth Management Solutions as the vice president of compliance in 2023. In this role, she provides guidance for the company based on rules and regulations related to the SEC, the Financial Industry Regulatory Authority (FINRA) and Global Investment Performance Standards (GIPS). Having so thoroughly overcome her fear of compliance, Ms. McBride prides herself on helping change the overall perception of the role. She aims to present compliance as a supportive and empowering element of any finance company — and an element that shares the overall goal of success and growth.
Though her path to this point was not straightforward, Ms. McBride’s performance in the field was shaped by her academic journey. She earned a Bachelor of Science in applied learning and development with a specialization in French from The University of Texas at Austin in 1998. As her career in finance has progressed, Ms. McBride has continued learning new skills and building on her expertise. Most recently, she was certified as a strengths coach through Gallup Inc. in 2017.
In addition to her professional accomplishments, Ms. McBride is a loving mother to two children, Jackson and Grant. In her free time, she finds enjoyment in traveling and in watching her sons play sports. As she moves forward, Ms. McBride is excited at the prospect of developing and running her own compliance program once more. She also hopes to undertake more consulting work in the future, envisioning contributions that extend beyond compliance to address businesses from a holistic perspective.
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