CARRIE SCHNEIDMAN
Delray Beach,FL
Summary
Accomplished compliance and management professional with over 20 years of financial services industry experience. With an emphasis on risk management, regulatory compliance, and internal controls, have been consistently recognized for effective and creative problem solving in an ever-evolving regulatory environment. Keen understanding of business unit needs and strong desire to find solutions that suit all parties involved while minimizing regulatory, reputational, litigation and operational risks to the firm.
Overview
27
27
years of professional experience
1
1
Certification
Work History
Senior Compliance Officer-Team Lead
Finalis Securities LLC
08.2021 - 09.2024
- Oversee regulatory compliance of independent representatives through DBA relationships with independent investment banking and advisory firms
- Assist Developers and implementer of compliance policies and procedures for unregistered securities transactions, conducted under Rule 506(b) and (c) of Regulation D of the '33 Act
- Specialist in compliance for private placements transactions, M&A, pre-IPO, secondaries, real estate (1031 qualified)
- Perform initial and ongoing due diligence of M&A and private placement clients and investors
- Analytical reviews of due diligence documents for M&A engagements and private placements, including deal data rooms
- Perform oversight and implementation of the firm's policies and procedures
- Assist in document production and responses to regulatory inquiries and audits
- Review the firm's electronic communications to identify, investigate and escalate potential sales practice misconduct
- Conduct supervisory audits of the office locations
Supervisory Principal
Growth Capital Services
09.2020 - 08.2021
- Product Supervision of various types of Private Placements M&A, pre-IPO, secondaries, real estate (1031 qualified)
- Advertising and marketing review
- Investor review and Reg BI Implementation
- U4, Outside Business Activity and Private Securities Transaction Review
- Branch Exams
Advisor, PCG Supervision
Raymond James Financial Services, Inc.
04.2019 - 12.2019
- Conducts and analyzes routine Supervision reviews, and monitors trading activities through the use of various reports and systems
- Adjusts existing programs, policies and procedures
- Identifies and advises client branches of irregularities and determines suitability of client branch activity
- Researching Supervision and regulatory issues and providing necessary support
COMPLIANCE SUPERVISOR
Summit Brokerage Services Inc.
03.2017 - 04.2019
- Company Overview: Oversee compliance functions at boutique broker dealer, owned by Cetera Financial Group
- Provide principal supervisory review and approval of clearing trades, money movement, and incoming ACATs
- Approve directives for financial products including annuities, alternative investments, insurance products and mutual funds
- Act as liaison between advisor and firm; approve all business relationships
- Determine suitability and perform due diligence with outside money managers
- Oversee compliance functions at boutique broker dealer, owned by Cetera Financial Group
DIRECTOR OF OPERATIONS
Network 1 Financial Securities Inc.
12.2012 - 03.2017
- Recruited by the same team at Obsidian to manage trade operations and compliance
- Drove customer-focused operations including reviewing and processing transactions
- Interacted with clients to answer operational inquiries; provided conflict resolution
- Performed middle and back office support, including addressing and researching cash/positions /market value reconciliations
- Analyzed budgets, financial reports and projections for accurate reporting of financial standing
- Assisted compliance with internal and FINRA audits
- Acted as liaison between management and technical support, as well as between clients and prime brokers
BROKERAGE ASSISTANT/COMPLIANCE SUPPORT SPECIALIST
Obsidian Financial Group Inc.
08.2009 - 12.2012
- Recruited by the same team at Empire to assist in trade operations and compliance
- Assisted 20 brokers with sales support; entered and allocated 100-150 trades daily
- Managed a small team responsible for order entry, block trading and reconciliation
- Reviewed and monitored key high-volume accounts
- Handled client requests and resolved transaction-related issues
- Assisted compliance with account monitoring, annual compliance audits and performed e-mail surveillance
DIRECTOR OF OPERATIONS/BRANCH MANAGER
Jesup & Lamont Securities Inc.
01.2009 - 12.2009
- Hired to manage operations as well as a corporate bond desk
- Revamped the operations department
- Oversaw high volumes of financial activity
- Managed municipal corporate bond desk
- Directed relationships with clearing firms
- Developed annual budgets in collaboration with the financial director
OPERATIONS MANAGER
Empire Financial Group Inc.
01.2006 - 01.2009
- Head sales assistant to top producers at small brokerage firm
- Supervised sales assistants and staff
- Processed trade corrections, new accounts and ACATs; reviewed trade blotters daily
- Managed relationships with clearing firms
- Assisted in annual compliance audits
SALES ASSISTANT
Legg Mason Wood Walker Inc
01.1998 - 01.2006
- Deposited checks and stock certificates
- Processed trades in customer accounts
- Reviewed accuracy of execution prices
Skills
- Compliance Surveillance Audits
- AML Reviews & Monitoring
- Operations Management
- Trade & Execution
- Financial Management
- Brokerage Industry
- Back & Middle Office
Certification
- Series 7 General Securities Representative, 2005
- Series 63 Uniform Securities Agent, 2005
- Series 24 General Securities Principal, 2008
- Series 9/10- General Securities Sales Supervisor, 2019
Professional Highlights
- Highly knowledgeable of broker dealer industry and accompanying compliance regulations; demonstrated history of putting effective processes and procedures into place to adhere to all regulations.
- Extensive experience conducting and responding to internal, SEC and FINRA Audits. Ability to effectively communicate internally and with SEC and FINRA to provide thorough responses in a timely manner.
- Experienced in handling AML monitoring, from employee email to daily trades. Provide principal review in a supervisory role at Summit Brokerage Services.
- Background in back and middle office management at various Broker Dealers. Deep understanding of the trade process from trade, to confirmation, to reconciliation for both fixed income and equities.
- Registered Series 7, 63, 24 and 9/10
Timeline
Senior Compliance Officer-Team Lead
Finalis Securities LLC
08.2021 - 09.2024
Supervisory Principal
Growth Capital Services
09.2020 - 08.2021
Advisor, PCG Supervision
Raymond James Financial Services, Inc.
04.2019 - 12.2019
COMPLIANCE SUPERVISOR
Summit Brokerage Services Inc.
03.2017 - 04.2019
DIRECTOR OF OPERATIONS
Network 1 Financial Securities Inc.
12.2012 - 03.2017
BROKERAGE ASSISTANT/COMPLIANCE SUPPORT SPECIALIST
Obsidian Financial Group Inc.
08.2009 - 12.2012
DIRECTOR OF OPERATIONS/BRANCH MANAGER
Jesup & Lamont Securities Inc.
01.2009 - 12.2009
OPERATIONS MANAGER
Empire Financial Group Inc.
01.2006 - 01.2009
SALES ASSISTANT
Legg Mason Wood Walker Inc
01.1998 - 01.2006
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