Cynthia Hubler

Compliance Consultant — Practice Lead, Education and Training

Cyndy Hubler is a compliance consultant and the practice lead of education and training in the Compliance Department at 1st Global, where she oversees the department’s education and training program, helps to create a collaborative team-based approach within the department, and works with leaders in various other departments throughout the company to coordinate the compliance training program. She began her career at 1st Global in 2011 and previously served as the senior compliance consultant.

Cyndy was originally drawn to the financial services industry while working as a research assistant to the director of equity research at a firm in Atlanta, Georgia, and her interest in the markets and the rules and regulations that govern and guide them eventually led her to the compliance sector, where she has worked for more than 20 years. Prior to 1st Global, she gained significant experience in the industry as an assistant vice president at Lincoln Financial Advisors, a director at MetLife/Tower Square Securities and a regional compliance director at Principal Financial Group. She has learned firsthand about the challenges facing advisors to keep compliance an integral part of their businesses, and she focuses on sharing how advisors can successfully enhance their practices with the practicality of compliance. She appreciates that her current role allows her to help influence advisor performance by increasing understanding of rules and regulations and helping incorporate compliance principles into advisors’ daily practices so that those principles become second nature to them. She is a member of LIMRA (a trusted source of industry knowledge for more than 850 financial services firms) and has passed her FINRA Series 7, 24, 63, 65 and 66 exams.