Anthony Beckford

Provide regulatory and supervisory oversight across 200+ financial advisors and advisor ensembles supported by approximately 250 staff; addressing both individual-advisor activity and the broader practices in which they operate.

• Supervise activity associated with 200,000+ insurance policies and investment accounts within a financial-services footprint representing $60B+ in net insurance death-benefit value and $9B+ in wealth accounts; including qualified and non-qualified accounts.
• Review and approve transactions and advise financial professionals on regulatory requirements, documentation, risk considerations, and supervisory best practices across insurance, brokerage, and advisory business.
• Conduct risk-based reviews of client files, transactions, email, social media, books and records, branch activity, and compliance systems; perform branch inspections and compliance interviews to identify and address supervisory concerns.
• Maintain OSJ and branch books and records in accordance with FINRA requirements and support supervisory plans, internal controls, and remediation related to sales-practice concerns and non-standard activity.

• Facilitated client onboarding and compliance documentation, streamlined account setup, and prepared financial planning materials, enhancing understanding of securities regulation and financial services processes.

• Led risk-mitigation and operational-support initiatives in high-pressure, mission-critical environments, demonstrating disciplined execution and sound judgment in adherence to established standards.
• Audited financial records and travel vouchers, enhancing accuracy and accountability while streamlining workflows and refining reporting processes to address administrative inefficiencies.
• Managed sensitive personnel, financial, and administrative records in compliance with confidentiality, policy, legal, and organizational-control requirements, ensuring integrity and security of information.

Developed recruitment strategies to attract top talent for military positions.

• Recruited and guided 28 candidates through complete recruiting pipeline, ensuring engagement, accurate documentation, and adherence to eligibility requirements through graduation.
• Coordinated candidate screening processes to ensure compliance with Marine Corps standards.
• Conducted interviews to assess qualifications and fit for various roles.
• Cultivated relationships with prospects, families, schools, and community stakeholders to effectively communicate service opportunities, expectations, eligibility standards, and career pathways.