Caitlin Gull
North Bellmore
Summary
Well-organized and detail-oriented Compliance professional with key experience in broker dealer compliance. Focused on risk management and regulatory adherence. Proven ability to implement compliance programs that align with organizational goals. Offering 15+ years of broker dealer experience.
Overview
18
18
years of professional experience
Work History
Compliance Manager
BNY
04.2021 - Current
- Support internal audits, Compliance tests, and FINRA requests (i.e., customer complaints, disclosure letters, 8210 requests) by gathering necessary documentation and evidence.
- Participate in routine FINRA examinations.
- Act as the main point of contact for the broker dealer's annual risk assessments (i.e., Compliance Risk Assessment, Market Abuse Risk Assessment, Anti-Bribery & -Corruption Risk Assessment)
- Onboard new employees with FINRA registration process and submit filings (U4, U5, Form BR, Form BD) on firm's Gateway account.
- Maintain registration files and records and coordinate payment of annual registration fees for the registered representatives and broker dealer.
- Create monthly gift and entertainment reports for over 400 registered representatives to ensure compliance with internal and FINRA standards and distribute to Executives across the broker dealer.
- Review non-cash compensation requests from registered representatives to ensure compliance with internal and FINRA policies.
- Manage a small team of Compliance professionals that support the daily tasks associated with registration and non-cash compensation.
- Provide ad hoc support to the CCO.
- Assist with updates and maintenance of internal Compliance manual and the distribution of the firm's Annual Compliance Questionnaire and Meeting.
- Monitor changes in regulations to maintain updated compliance standards.
Compliance Officer
BNY Mellon
03.2015 - 04.2021
- Onboarded new employees with FINRA registration process and submit filings on firm's CRD account.
- Maintained registration files and records and coordinated payment of annual registration for the registered representatives and broker dealer.
- Partnered with the CCO in the development and implementation of the broker dealer's formal internal policy and procedures for non-cash compensation. Maintained broker dealer's non-cash compensation policies and procedures for educational sponsorships, client events, sales incentive arrangements, as well as charitable contributions, gifts, and entertainment for registered representatives.
- Created monthly gift and entertainment reports for over 400 registered representatives to ensure compliance with internal and FINRA standards and distributed to Executives across the broker dealer.
- Communicated and worked closely with internal business partners, management, and registered representatives on non-cash compensation and registration policies and procedures.
- Performed routine FINRA required branch inspections.
Business Specialist/Expense Analyst
BNY Mellon
09.2007 - 03.2015
- Created reports to ensure FOINR and firm policies were adhered to by registered representatives for distribution to Regional Managers, Senior Operating Committee members, and Compliance members.
- Used Microsoft Access and Excel to track entertainment and gift expenses consumed and distributed by approximately 650 registered representatives.
- Trained newly registered employees on processes and systems for the reimbursement of travel and entertainment expenses, as well as registration requirements.
- Communicated internally on a daily basis with sales team by providing assistance in the submission of expense reports, reviewing firm and FINRA policies, and running ad hoc reports.
- Acted as medium between Registration team and candidates for FINRA registration to ensure that a proper timeline was followed and paperwork was completed for the U4 application, bi-annual registration reports, and Annual Compliance Questionnaire.
Education
MBA - Finance
Hofstra University
Hempstead, NY05-2013
Bachelor of Arts - History
SUNY At Binghamton
Binghamton, NY05-2007
Skills
- Compliance monitoring
- Training development
- Internal audits
- Reporting requirements
- Regulatory examinations
- Risk assessment
- Data analysis
- Decision-making
- Multitasking
Licenses
- FINRA Series 7
- FINRA Series 24
Timeline
Compliance Manager
BNY
04.2021 - Current
Compliance Officer
BNY Mellon
03.2015 - 04.2021
Business Specialist/Expense Analyst
BNY Mellon
09.2007 - 03.2015
MBA - Finance
Hofstra University
Bachelor of Arts - History
SUNY At Binghamton