Vice President, Risk Analyst & Insurance Oversight
Mr. Copley joined Ancora in 2021 to support both the Risk and Compliance teams. Tom supports the Chief Risk Officer’s internal risk and controls program by performing testing, monitoring and assessing risks. In addition, Tom supports the Compliance group by providing oversight of the Insurance division and supporting Ancora’s broker dealer with his broad knowledge of FINRA rules and regulations.
Prior to joining Ancora, Tom worked with KeyCorp for over thirteen years, first for Key’s investment division, McDonald Investments, as the Office Manager, monitoring trades and client interaction. Tom then began working within Key Investment Services (KIS) as a Principal, conducting supervisory reviews and oversight for all KIS business. Tom assisted with regulatory responses for KIS along with monitoring for risk issues. Tom’s deep knowledge of insurance products and annuities, as well as his experience working on regulatory matters, assessing risk and compliance controls and communicating issues to leadership, significantly strengthens the Risk and Compliance teams.
Tom earned a Bachelor of Business Administration in Finance from The University of Toledo and a Master of Business Administration from Western Governors University. He is a FINRA licensed registered representative and holds Ohio Life and Health Insurance Licenses.