The US investment firm of Vanderbilt Financial, which services both private and institutional clients, has promoted Steve Howe to the post of chief compliance officer. Previously, he was the Director of Operations and Compliance at 3 Dimensional Wealth Advisory.

The large New York broker-dealership and general investment concern already employs Howe to 'onboard' new advisors and advisory teams. He was at 3 Dimensional Wealth Advisory, an independent, multi-disciplinary wealth management firm with a family of financial service companies, until March last year when he moved to Vanderbilt.

3DW is the parent company of: a Registered Investment Advisor (RIA) registered with the US Securities and Exchange Commission, where he oversaw new/existing business, servicing, settlement and reconciliation and acted as 'key liaison' for new advisor/client AUM 'onboarding'; an introducing broker-dealer, to which he applied FINRA, SEC, and SRO rules and regulations and co-ordinated AML testing; a qualified plan and retirement consulting firm; an insurance and employee benefits planning company; and a corporate trust company administration, where he conducted liaison between HNW clients & advisors.