Brandon Jacob
Compliance Specialist
Omaha,NE
Summary
Accuracy-driven Compliance Specialist focused on evaluating and optimizing company policies and procedures across the board. Disciplined and forward-thinking with purposeful approach. Offering 8 plus years of Compliance experience with established internal and external control procedures by examining records, reports, operating practices, and policies. Proficient with audit functions, communicating findings to all levels of management, and implementing procedures and policies to mitigate future business risk. Additional experience in contract life cycle management and proactive risk mitigation.
Overview
16
16
years of professional experience
Work History
Compliance Specialist
DTN, LLC
07.2017 - Current
- Managed contract and policy compliance for over 60 data vendors/suppliers with contracts totaling $20 million annually
- Responsible for the management of regulated exchange/vendor contracts including Nasdaq Exchange, New York Stock Exchange, Chicago Mercantile Exchange (CME), Intercontinental Exchange (ICE), S&P Global (Platts), IHS (OPIS), etc
- Worked collaboratively across Sales, Sales Support, Operations, IT, Executive, and Legal teams as the SME for exchange/vendor policy contracts
- Collaborated with the legal department to advise leadership and management on compliance matters
- Developed and delivered comprehensive employee training on compliance policies, practices, and reporting systems
- Identified, investigated, and reported compliance issues, irregularities, and violations
- Implemented corrective actions, post audit to mitigate future risks
- Track and document all vendor policy/contract updates and inform all organizational levels impacted of those changes
- Cultivated and maintained strong relationships with market data leaders across the financial markets industry.
Product Development Specialist
Complete Nutrition
12.2015 - 05.2017
- Introducing concepts and participating in concept development and formulation with Product Development Team
- Gather and organize ingredients and materials for launching new products
- Review new launches for compliance standards, vet ingredient safety, pricing, internal inventory, & live sample review
- Identify opportunities within the product portfolio
- Receive and organize third party product requests and guides through the approval process; maintain clear documentation around approval process
- Manage external product requests/relationships
- Provide monthly competitive data to Product Development Team based on third party products
- Utilize market research software for gathering various market trends
- Provide a monthly industry snapshot/review of emerging trends
- Maintain relationships with key vendors, suppliers, and industry experts
- Identify key outside sales partners and provide necessary information to them to complete sales
- Review sales trends and identify patterns within the industry.
New Business Manager
CLS Investments
11.2014 - 12.2015
- Manage 6 employees, including hiring, training and development, delegating work assignments, writing and conducting performance appraisals, coaching and counseling, and administering corrective actions
- Handle, troubleshoot, and provide solutions to unique and/or escalated issues from both employees, and internal and external customers
- Review team performance against company metrics
- Manage relationships with representatives, custodians, and other contacts to create an excellent customer service environment
- Verify accuracy of Qualified Plans, Participants, Core Accounts, and other assigned items before final sign off
- Implement and ensure effective controls and checks are in place to reduce errors
- Sat on Error Committee to ensure errors were addressed and corrective action was taken
- Review daily metrics of department to identify areas for workflow improvement, staffing, and balance of department workload; provides metrics and reports to Director of Service Operations
- Update procedures based on new policies, new workflows, internal audits, compliance and regulatory changes.
Trust Services Specialist
Constellation Trust
08.2010 - 11.2014
- Work directly with fund or annuity companies to re-register funds or annuities
- Update broker dealer and representative information at the fund or annuity company; address new account paperwork issues and asset transfers
- Continuously in contact with CTC advisors, representatives, and outside companies to facilitate incoming and outgoing transfers and new accounts
- Confirm daily cash deposit to ensure correct deposit to the client accounts
- Present system demonstrations to prospective clients.
Associate Analyst
Securities America, Inc
11.2008 - 06.2010
- Review and set up new brokerage and non-brokerage investment accounts, and log receipt of all paperwork; verify proper signatures, documentation and rep licensing
- Process all account maintenance requests such as address, suitability changes, distribution options, margin agreements, and options agreements
- Research and address issues with incoming client checks in a timely manner to comply with FINRA custody regulations
- Communicate with financial advisors via telephone or email to resolve issues with client accounts.
Education
Bachelor of Science in Business Management - Business Administration And Management
University of Nebraska at Omaha
Omaha, NE08-2007
Skills
- Microsoft Office - Full Suite
- Internal & External audit functions
- Policy and Risk Mitigation
- Box
- JIRA
- Workday
- Salesforce
- Contract review
- Dun & Bradstreet
- GDPR regulations
- CFTC regulations
- Controls evaluation
- KYC risk evaluation
- SharePoint
- PeopleSoft
- Compliance Oversight
- Compliance Monitoring
- Industry Awareness
- Sanctions compliance
References
References available upon request.
Timeline
Compliance Specialist
DTN, LLC
07.2017 - Current
Product Development Specialist
Complete Nutrition
12.2015 - 05.2017
New Business Manager
CLS Investments
11.2014 - 12.2015
Trust Services Specialist
Constellation Trust
08.2010 - 11.2014
Associate Analyst
Securities America, Inc
11.2008 - 06.2010
Bachelor of Science in Business Management - Business Administration And Management
University of Nebraska at Omaha
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