Years of experience in the Financial Services industry.
DINITIA CAZY
Compliance Professional
Indianapolis,IN
Summary
Well-organized and detail-oriented Compliance Officer with key experience in Banking, Broker Dealer and RIA environments. Focused on maintaining consistence and quality in regulatory compliance, audit procedures, project oversight and risk management. Excellent history of delivering effective leadership and training to support staff development. Driven and strategic with an aptitude for program development and management.
Overview
25
25
Work History
Chief Compliance Officer
Exemplar Capital and Wealth Advisors, LLC
Boston, MA
03.2023 - Current
- Support management in achieving business objectives while managing regulatory, compliance, and reputational risk
- Work closely with the CEO, COO, and senior management to enhance the supervision and control framework as well as governance of the broker-dealer and FINRA-regulated businesses
- Drive implementation of local regulatory change/remediation projects and initiatives
- Provide advice on rules and regulations, compliance policies, and procedures
- Serve as point person on FINRA and SEC inquiries and examinations of the Broker-Dealer
- Coordinating various SEC and regulatory filings
- Provide situational and ongoing advice to senior management/investment professionals on compliance with laws and regulations, monitor business line performance with compliance, address any potential gaps/issues and remediate
- Review requests for Outside Business Activities and Private Securities Transactions submitted by advisors
- Review and approve external communications, including marketing materials i.e. ETF, mutual funds, private placements
- Manage projects involving third-party services providers and management of vendor due diligence
- Escalate and track enhancements and issue remediation through to resolution
- Draft responses to regulatory inquiries from foreign and US regulators
- Draft and implement firm policies, controls, and written supervisory procedures
- Developing and implementing remedial action plans in response to internal and external audit findings
Compliance Officer
Fifth Third Securities
02.2022 - 03.2023
- Collaborate with leadership to devise strategies to improve processes and risk controls as well as implement new systems and best practice guidelines
- Assist with regulatory exams and requests as well as assist with other internal investigations and reviews
- Conduct marketing and advertising reviews ETF, Mutual Funds
- Reporting processes to assess conformance with regulatory requirements
- Perform sample-based transaction testing to assess accuracy of data used in regulatory reporting processes
- Prepare written reports which summarize testing procedures conducted and resulting conclusions
- Maintain and revise policy procedures for general operation of compliance program
- Develop organizational methods and policies, implementing training initiatives to deliver ongoing awareness of and compliance with established procedures
- Adhere to deadlines in optimizing regulatory and operational performance
- Established working relationships with regulatory agencies
- Enforced regulations by reviewing federal and state laws to confirm compliance
- Assess internal documentation and communications as well as public relations and advertising materials for compliance with company policies and legal requirements
- Track both internal and external data export while monitoring for security risks.
Registered Sr. Wealth Management Client Assoc.
Bank of America Merrill Lynch
11.2016 - 11.2021
- Crafted a Financial Advisor Development Program Standard Operating Procedure Manual for branch-wide usage with staff
- Worked with sales teams to understand processes and enhance after-sales support
- Served as subject matter expert on Best Practices on technology, tools, and regulatory compliance
- Reviewed remediation actions to assess closure of identified exceptions
- Collaborated with peers in and across the second line of defense
- Served as a key point of contact to the business by providing updates on testing progress and addressing issues as they arise
- Built strong relationships with stakeholders such as business areas, financial controllers, and operations
- Developed and deepened relationships with new and existing clients to advance progress and improve business
- Wrote accurate orders to manage transfers, verified transactions and maintained thorough records.
Executive Assistant to Division Compliance Officer
Bank of America Merrill Lynch
Indianapolis, IN
07.2015 - 10.2016
- Division Compliance Director for the Greater Midwest Markets
- Managed internal audits as well as prepared reports on the findings
- Served as a key point of contact to the business by providing updates on testing progress and addressing issues as they arise
- Prepared and updated office records, spreadsheets, and presentations to support executive needs and enhance office productivity
- Created PowerPoint presentations used for diverse business needs
- Tackled and addressed top-level, high-priority issues with professional administrative discretion
- Supported auditors during review process with clerical support.
Executive Assistant to the President
Creative Planning Strategies
07.2014 - 07.2015
- Tackled and addressed top-level, high-priority issues with professional administrative discretion
- Revised and maintained master calendar for client appointments
- Detailed and arranged travel arrangements and venue reservations for conferences and seminars
- Opened, read, and wrote answers to routine letters and correspondence for executives
- Recorded and maintained updated information on company services
- Supported advertising and promotional initiatives by creating marketing materials.
Senior Internal Wholesaler
Highland Capital Brokerage
07.2005 - 07.2014
- Helped internal and external business partners by providing specific expertise and tactical support
- Answered inbound sales calls and reached out to potential customers to answer questions and set appointments
- Managed targeted promotional campaigns to enhance sales and profits
- Collaborated with cross-functional teams to meet customer requirements and market demands
- Located new markets and developed specific plans to showcase company products and services to each.
Senior Marketing Administrator
National Partners Group
01.2002 - 07.2005
- Compiled and disseminated company news, project updates and acquisition activities through formal press release distribution, article development and marketing
- Prepared new business materials by composing RFQ and RFP responses, new business meeting pitches and presentations
- Devised corporate marketing messaging and advertising campaign strategies
- Contacted individuals and businesses to devise cooperative promotions
- Planned and organized promotional events to expand brand recognition and customers.
Education
Juris Master - Banking And Finance Law
Florida International University - College of Law
07.2023
Graduate Certificate - Public Policy Administration
Liberty University
12.2021
Graduate Certificate - Management And Leadership
Liberty University
12.2020
Bachelor of Liberal Studies -
Indiana University
08.2020
Timeline
Chief Compliance Officer
Exemplar Capital and Wealth Advisors, LLC
03.2023 - Current
Compliance Officer
Fifth Third Securities
02.2022 - 03.2023
Registered Sr. Wealth Management Client Assoc.
Bank of America Merrill Lynch
11.2016 - 11.2021
Executive Assistant to Division Compliance Officer
Bank of America Merrill Lynch
07.2015 - 10.2016
Executive Assistant to the President
Creative Planning Strategies
07.2014 - 07.2015
Senior Internal Wholesaler
Highland Capital Brokerage
07.2005 - 07.2014
Senior Marketing Administrator
National Partners Group
01.2002 - 07.2005
Juris Master - Banking And Finance Law
Florida International University - College of Law
Graduate Certificate - Public Policy Administration
Liberty University
Graduate Certificate - Management And Leadership
Liberty University
Bachelor of Liberal Studies -
Indiana University
- FINRA SIE
- Series 6
- Series 7
- Series 14
- Series 24
- Series 63
- Series 66
- Series 82
- Series 99
- Notary Public
- FIBA’s Certified Professional in Anti-Money Laundering (CPAML)
Certification
- FINRA SIE
- Series 6
- Series 7
- Series 14
- Series 24
- Series 63
- Series 66
- Series 82
- Series 99
- Notary Public
- FIBA’s Certified Professional in Anti-Money Laundering (CPAML)
Additional Information
- AWARDS , Client Associate Banking Award, BOAML (2020 & 2021) Client Associate Top 1250, BOAML (2018 & 2019) Indiana Market Branch Coach, BOAML (2018) Diversity & Inclusion Market Representative, BOAML (2017) Indiana Market Employment Engagement Champion, BOAML (2017)
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