Compliance Officer. Equity Head Trader , AM officer. FINRA Series 7.24.55.63.65 active.
FINRA Series active 7.24.55.63.65
Responsible for independently performing all functions of branch exams, including thorough on-site evaluation of branch activities to assess/monitor compliance with company policies and procedures as well as applicable federal and state laws and regulations.
Prepare for each exam by generating and analyzing reports, review exam findings with OSJ- Non OSJ and Satellite Branch Managers, sending exam reports in timely manner, educating Managers and Financial Advisors on industry rules, regulations, and firm policies while performing exam.
Scheduled all assigned examinations, manages exam related expenses
Counseled clients on financial matters and provided recommendations on investment opportunities, products and services based on client needs and asset availability.
Interviewed clients to assess income, expenses, insurance coverage, tax status, financial and investment goals, and risk tolerance to formulate and actualize strategic financial plans; formerly administered $.5M client investment portfolios
Cultivated and maintained all new and existing high net worth and institutional accounts, guided and assisted sales force team in offering of EMS/OMS trading platforms for potential and existing clients weekly, worked closely with development team on design and testing of enhancements of EMS/OMS trading platform, performed all compliance functions and maintained full responsibility for compliance/regulatory procedures of the firm, served as Anti-money Laundering Officer.
Windows, Word, Excel, Power Point
Varied Trading software, programs, and platforms
CMAX, Oracle, Salesforce, Branchnet, Concur, LexisNexis, Oracle
Audit support
Regulatory examinations
Anti Money Laundering (AML)
Regulatory compliance oversight
Investigations expert
Gateway
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