First National Bank of Omaha
Lisa Tracy currently serves as a Sr. Associate in Wealth Management Compliance Risk Assessments and Testing at FNBO since September 2023. Prior to this role, Lisa was the Lead for Partner Due Diligence at DriveWealth, where responsibilities included reviewing partner policies for compliance with FINRA and SEC regulations, managing Request for Production requests, and supporting regulatory inquiries. Lisa's extensive experience at TD Ameritrade spanned over fourteen years, where roles included Retail Supervision Principal, Retail Risk Management and Controls Principal, Sr. Specialist in the Office of the President, Futures and Forex Specialist, Product Support Specialist, and Retirement Account Analyst. Lisa's educational background includes a Bachelor of Arts in Biochemistry from Lawrence University, earned in 2007.
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