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Posted on: August 29, 2013

Securities Commissioner's Staff Recognized for Outstanding Service

Group Picture 8-28-13

Governor Sam Brownback recognized outstanding state employees of the quarter yesterday and our office was pleased to have two of our own awarded! Congrats to Kathy Bock and Shelly Welch!

Kathy has worked for our office for over 30 years and serves as our Senior Administrative Specialist. She is an exemplary employee as demonstrated by her consistently high quality work product and her always positive attitude and willingness to take on more tasks. Her work efforts to the office are often “above and beyond” what would be expected for her position, and she routinely goes out of her way to ensure that our agency’s functions are running smoothly. Perhaps more importantly, she is a daily source of cheerfulness and encouragement!

Shelly has been with the office for over 10 years and has a wealth of knowledge about securities regulation. At the beginning of 2013, our agency began a new Employee Securities Licensing initiative for the purpose of increasing our agency employees’ securities industry credentials. Over the past six months, 17 out of 21 employees voluntarily and successfully participated in this initiative by studying for and passing the Series 63 securities license exam in addition to their normal job duties. As a result of these 17 employees’ efforts, the agency went from 10% of agency staff in 2012 to 81% of agency staff in 2013 holding one or more securities licenses. This has significantly enhanced the professionalism and credibility of our office within the industry we regulate.

In addition to having the highest score among KSC staff on the Series 63 Exam earlier this year, Shelly has done a great job managing the registration process for broker-dealers, investment advisers and their representatives. A very important and admirable quality of her work with the firms and people we regulate is her prompt responsiveness to applicants for registration and empathy as well as flexibility for helping them navigate the various requirements for compliance. Shelly is also very helpful in providing support and assistance with on-the-job staff training for our newer Compliance staff members.

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