Shawn Baxter, CAMS

Manager of Centralized Compliance Controls

Shawn Baxter is the manager of centralized compliance controls at 1st Global, where he provides oversight and analysis of a variety of sales practice and regulatory issues, oversees the Anti-Money Laundering Compliance Program, helps ensure the firm is able to meet commitments to its advisors and clients by adhering to the business continuity plan, and manages the Securities and Licensing Department, which is responsible for ensuring both advisor and employee licenses are maintained in good order and that renewals, continuing education and other associated licensing tasks are performed within defined regulatory time frames.

He began his career at 1st Global in 2002 and has served in previous roles in customer service and trading, in advisory service and trading, as a compliance consultant, as the director of internal controls, as the director of risk management and as the director of compliance surveillance and licensing.

Shawn received his Bachelor of Business Administration degree in marketing from Texas Tech University, and he was initially drawn to compliance roles within the financial services industry because of his drive to better understand the purpose of the rules that govern the industry and their intended impact on firms and their affiliated advisors and customers. He believes that any law, rule or policy needs to be both reasonably designed and have reasonable controls in order to be effective, and his role in the Compliance Department allows him continually to be a part of the process in an ever-changing and heavily regulated industry. Prior to 1st Global, he worked in customer service and trading at Fidelity Investments. In his current role, he makes concerted efforts to focus his time and energy on things that have meaningful impact, whether large or small, to the organization and its advisor and clients. He is a member of the Association of Certified Anti-Money Laundering Specialists (ACAMS) and the Securities and Insurance Licensing Association (SILA), and he has passed his FINRA Series 7, 24, 53, 63 and 66 exams as well as his Texas Life and Health Insurance exam.


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