Summary
Overview
Work History
Education
Skills
Timeline
Certification
Generic
Brian Ernst

Brian Ernst

Compliance Officer
Lancaster,PA

Summary

Compliance Officer. Equity Head Trader , AM officer. FINRA Series 7.24.55.63.65 active.

Overview

21
21
years of professional experience
1
1

FINRA Series active 7.24.55.63.65

Work History

Advertising Consultant

Ernst Consulting
Lancaster, PA
10.2022 - Current
  • Skilled at working independently and collaboratively in a team environment.
  • Self-motivated, with a strong sense of personal responsibility.
  • Worked effectively in fast-paced environments.

Advertising Analyst GRC

Independent Financial Group
San Diego, CA
03.2022 - 08.2022
  • Completed in-depth reviews of market conditions and customer preferences for Broker Dealer and Bank advertising products.
  • Collected advertising data using various research methods to broaden results and optimize marketing strategies.
  • Recorded advertising data in Gateway and Laserfiche databases, streamlining analysis procedures for efficiency and accuracy.
  • Implemented updated review procedures to rectify issues in data collection and analysis, resulting in comprehensive reviews.

Investment Advisor Representative,

Transamerica Financial Services
San Diego, CA
10.2021 - 02.2022
  • Met with clients to generate new business and negotiate contracts.
  • Gathered data and built financial models around key metrics.
  • Contacted potential clients to pursue sales and gather funds.
  • Established key procedures for teams preparing documentation, models and presentations.

Senior Digital Advertising Analyst

Divvy Technologies
Brick , NJ
01.2020 - 10.2021
  • Created customized marketing materials to increase product awareness.
  • Identified appropriate marketing channels and target customers for campaigns.
  • Coordinated with social media, public relations and other teams to execute product introductions.
  • Maximized advertising efforts by developing content for media relations, corporate communications and social media posts.
  • Conducted primary and secondary research to better understand customer needs and behaviors.

Compliance Analyst

LPL Financial Services
San Diego, CA
03.2018 - 12.2020
  • Governance, Risk & Compliance (GRC)
  • Marketing Regulatory Review approving marketing materials and other public communications from Financial Advisors and home office employees.
  • Analyze marketing materials and other forms of communication with public and provide principal approval or instructions to change material in order to provide approval.
  • Consult with advisors on their marketing initiatives.
  • Received "Super Star for Customer Service" award June 2019. One of five awarded in San Diego office.
  • Work with advisors, financial institutions, and home office employees regarding communications with public.
  • Pursued continuous learning opportunities regarding latest compliance and procedural changes.
  • Performed special reviews to support management needs.
  • Managed over 30 client calls per day

Compliance Consultant

Self Employed
San Diego, United States
01.2016 - 08.2017
  • Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
  • Provided guidance, advice and training to improve business' understanding of related laws and regulatory requirements.
  • Prepared training programs to improve compliance at all levels.
  • Gathered, organized and evaluated data to make accurate assessments of current operations.

Branch Examiner/ Governance Risk and Compliance

LPL Financial Services
San Diego, United States
07.2014 - 12.2015

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

Financial Advisor/Investment Advisor Representative

New England Securities/Creative Financial Group
Wall Township, NJ
01.2013 - 06.2014

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

Sales Trader/National Account Manager

Jackson Securities
Red Bank, NJ
06.2011 - 12.2012
  • Managed, supported and grew business relationships with existing accounts and developed strategies to increase sales and revenue.
  • Forecasted sales of $100,000 and set successful policies to achieve sales objectives and related metrics within timeframe.
  • Developed and implemented comprehensive sales plan to achieve designated group sales objectives consistent with overall company short- and long-term objectives.
  • Identified profitable business leads and built pipeline of prospective customers.

Vice President of Trading,

Doley Securities
Manhattan, NY
10.2010 - 05.2011
  • Identified opportunities to improve business process flows and overall departmental productivity.
  • Hired and managed employees to maximize productivity while training staff on best practices and protocols.
  • Established performance goals for department and provided methods for reaching milestones.
  • Increased company growth through collaboration with sales and marketing departments.

Chief Compliance Officer/Head Trader

Electronic Global Securities
Manhattan, NY
05.2006 - 10.2010

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.

National Account Manager

Piper Jaffray
Manhattan, NY
04.2005 - 05.2006
  • Managed, supported and grew business relationships with existing accounts and developed strategies to increase sales and revenue.
  • Forecasted sales of $[Amount] and set successful policies to achieve sales objectives and related metrics within timeframe.
  • Developed and implemented comprehensive sales plan to achieve designated group sales objectives consistent with overall company short- and long-term objectives.
  • Identified profitable business leads and built pipeline of prospective customers.

Floor Manager/ Pacific Stock Exchange

Cowen And Co.
Los Angeles/ San Francisco, CA
07.2000 - 07.2002
  • Oversaw employee performance, corrected problems and increased efficiency to maintain productivity targets.
  • Coached employees and trained on methods for handling various aspects of sales, complicated issues and difficult customers.
  • Made personal recommendations for customers by sharing product knowledge and demonstrating product.
  • Established and optimized schedules to keep coverage and service in line with forecasted demands.

Floor Broker Pacific Stock Exchange

Cowen And Co
Los Angeles, CA
07.1997 - 06.2000
  • Collaborated with clients to maintain relationships and provide customers with thorough support and guidance..
  • Developed and maintained strong knowledge of multiple products and varying levels of benefits within each product.
  • Discussed financial options with clients and provided informed suggestions.

Education

Bachelor of Science - Marketing

Richard Stockton Universities
Pomona NJ
04.1989

Skills

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

Laserfiche

Timeline

Advertising Consultant

Ernst Consulting
10.2022 - Current

Advertising Analyst GRC

Independent Financial Group
03.2022 - 08.2022

Investment Advisor Representative,

Transamerica Financial Services
10.2021 - 02.2022

Senior Digital Advertising Analyst

Divvy Technologies
01.2020 - 10.2021

Compliance Analyst

LPL Financial Services
03.2018 - 12.2020

Compliance Consultant

Self Employed
01.2016 - 08.2017

Branch Examiner/ Governance Risk and Compliance

LPL Financial Services
07.2014 - 12.2015

Financial Advisor/Investment Advisor Representative

New England Securities/Creative Financial Group
01.2013 - 06.2014

Sales Trader/National Account Manager

Jackson Securities
06.2011 - 12.2012

Vice President of Trading,

Doley Securities
10.2010 - 05.2011

Chief Compliance Officer/Head Trader

Electronic Global Securities
05.2006 - 10.2010

National Account Manager

Piper Jaffray
04.2005 - 05.2006

Floor Manager/ Pacific Stock Exchange

Cowen And Co.
07.2000 - 07.2002

Floor Broker Pacific Stock Exchange

Cowen And Co
07.1997 - 06.2000

Bachelor of Science - Marketing

Richard Stockton Universities

Certification

  • Finance
  • Licenses - 7, 24, 55, 63, 65
Brian ErnstCompliance Officer