Ashley Barnes

· Supervise 50 Financial Advisors and Licensed Bankers to adherence to firm WSPs and FINRA rules/guidelines

· Conduct thorough, consistent in person reviews and branch assessments with financial advisors in the Central Ohio market

· Involved in the Electronic Communications Working Group, performing monthly quality control work and lexicon continuous improvement projects for the Global Relay system

· Present Compliance & Supervision topics to the Licensed Banker audience on quarterly basis through Workshop forum

· Created STAR Compliance User Guide document to aid the field in Gift/Entertainment/OBA submissions

·Received Satisfactory OSJ exam results for Central Ohio East since 2021

· Awarded the MVP of the Regional Supervisory Officer Team in 2025

·Completed monthly Surveillance reporting, escalating to the field or via an Investigative Referral when necessary

· Participated heavily as a Compliance representative for Email Surveillance by leading monthly policy & lexicon review meetings, gathering data for quarterly Compliance & Risk meetings and assisting with policy/lexicon migration project to Global Relay

·Performed reviews of Professional Designation/OBA/Gifts & Entertainment requests

· Created Surveillance Desktop procedures, as well as ongoing maintenance to the document

· Cross trained on auditing Branch Exams, handling Potential Financial Exploitation issues (including FINRA 2165 situations) and AML related functions

· Oversaw adherence to information barriers to protect firm nonpublic material information through daily, weekly, and monthly surveillance and reporting

· Created and provided ongoing maintenance of the Control Room Desktop procedures, as well as led content and distributing of Control Room bulletin

· Performed daily research and disciplinary communication to employees on trade preclearance and holding period violations

· Maintained our firm watch and restricted securities lists arising from underwriting activities

· Assisted with Onboarding of over 800 bank side employees newly covered by Control Room policies into the personal trading system; supported over 1200 HIC employees through implementation of new preclearance and holding period policies

· Performed suitability review of business (annuity, advisory, brokerage, insurance, POA, MLCD etc.) submitted by registered reps with an end result of either an approval or decline of each transaction, focusing on quality and using HIC guidelines and industry knowledge to aid in decisions

· Worked with PRD management to write and edit several sets of procedure documents relating to PRD functions; created additional training material for PRD new hires

· Consistently led team in production in terms of items reviewed in queue

· Led new colleague onboarding process from start to finish

· Assisted all Central Ohio HIC advisors and assistants with insurance licensing renewal and the FINRA licensing process

· Maintained proper client account assignments for Central Ohio region through book transfers, rep changes, Blue Sky management and diligent follow up to provide for a better client and rep experience

· Planned and coordinated events such as wholesaler seminars, licensed banker meetings, advisor assistant meetings, quarterly advisor meetings, and weekly sales calls, as well as participated in deriving agenda items and presenting materials at the events

· Supported sales leadership team by pulling and distributing reports that assisted reps in generating client appointment activity and revenue; distributed back office generated reports to the field to alert them of NIGO items, commission withholding/forfeiting, and account restrictions and followed up to keep client business on track to be approved