Robert Sondheim
Senior Compliance Officer at ACORNS SECURITIES LLC | Arlington, Virginia, United States
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Robert Sondheim currently serves as the Senior Compliance Officer at ACORNS SECURITIES LLC, where he plays a pivotal role in ensuring the firm’s adherence to regulatory standards within the dynamic landscape of securities markets. In this capacity, Robert oversees the development and implementation of comprehensive compliance policies and procedures, aligning them with evolving regulatory requirements to mitigate risk and promote a culture of integrity. His expertise in securities regulations, risk management, and internal compliance testing enables him to proactively identify potential compliance gaps, providing strategic guidance to both the broker-dealer and investment advisory divisions.
A key aspect of Robert’s role involves collaborating closely with marketing teams, content creators, and product development units to review and advise on new product initiatives and marketing campaigns. His deep understanding of mutual funds, social media communications, and public speaking ensures that all client-facing and promotional activities are compliant and transparent. Robert’s leadership extends to conducting compliance training sessions and fostering a culture of ethical conduct across teams, emphasizing policies & procedures that uphold regulatory standards.
With a proven track record in managing complex compliance testing and internal audits, Robert Sondheim leverages his Series 7 certification and extensive knowledge of securities laws to support ACORNS SECURITIES LLC’s strategic growth. His ability to build strong relationships with legal, risk, and compliance partners enhances the firm’s ability to navigate regulatory challenges effectively. Through his dedication and expertise, Robert continues to drive compliance excellence, safeguard client interests, and contribute to the firm’s reputation as a trusted player in the investment management industry.
Senior Compliance Officer at ACORNS SECURITIES LLC in August 2023 to Present
Executive Director at Morgan Stanley in October 2020 to July 2023
Executive Director, Compliance at E*TRADE in March 2002 to October 2020
Senior Consultant at BISYS in March 2000 to March 2002
Senior Manager at NASD in December 1996 to March 2000
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University of Hartford, BA, August 1984 to August 1988
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Compliance Oversight
Series 24
Financial Advisory
Written Communication
Mutual Funds
Marketing Compliance
Regulatory Requirements
Policies & Procedures
Organization Skills
Internal Controls
Compliance Testing
Compliance Management
Anti-Money Laundering
Unbiased
Business Relationship Management
Policy Interpretation
Internal Compliance
Handle Confidential Information
FINRA
Critical Thinking
Conflict Resolution
Broker-Dealer Compliance
Customer Service
Social Media Content Creation
Series 7
Securities
Marketing Materials
Marketing
Investment Company Act
Investment Advisers Act
ETFs
Public Speaking
Banking
Project Management
Regulatory Compliance
Risk Management
Finance
Management
Financial Services
Analytical Skills
Compliance Monitoring
Financial Regulation
Microsoft Excel
Microsoft PowerPoint
Microsoft Word
Microsoft Office
Social Media Communications
Communication
Teamwork
Leadership
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What is Robert Sondheim email address?
Email Robert Sondheim at [email protected]. This email is the most updated Robert Sondheim's email found in 2026.
How to contact Robert Sondheim?
To contact Robert Sondheim send an email to [email protected]. (updated on May 04, 2025)
What company does Robert Sondheim work for?
Robert Sondheim works for ACORNS SECURITIES LLC
What is Robert Sondheim's role at ACORNS SECURITIES LLC?
Robert Sondheim is Senior Compliance Officer
What is Robert Sondheim's Phone Number?
Robert Sondheim's phone (703) ***-*257
What industry does Robert Sondheim work in?
Robert Sondheim works in the Financial Services industry.
Robert Sondheim Email Addresses
Robert Sondheim Phone Numbers
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