Douglas Reynolds
Cape Girardeau,MO
Summary
Experienced Supervisor leading team members on-time task completion. Train employees, provide feedback, Act as Liaison between departments in the enterprise and implement company procedures. Excellent communication and listening skills. Provide leadership and vision which drives teams to maintain regulatory standards.
Overview
22
22
years of professional experience
1
1
Certification
Work History
Regional Supervisor - Vice President
Wells Fargo Advisors Financial Network
02.2008 - 04.2023
*Supervise 24+ Independent Investment Practices and associates to ensure all firm and industry policies are followed and adhered to.
* Review risk and operational reports relative to all aspects of advisory business for practices located in Noral region.
*Report findings to Senior Management and determine corrective actions and implement said action plans.
*Review Advisor's Significant Clients for potential risks and/or conflicts of interest.
*Subject Matter Expert for the Norcal market on Compliance policies.
*Perform annual in-person practice and advisor reviews.
*Supervise branch trade activity through proprietary review systems.
*Educate Investment Representatives and branch associates on compliance and regulatory
issues.
*Complete specialized reviews of trading activity to ensure compliance with industry and
firm policy.
*Assist with inquiries from Internal Audit.
*Review large stock positions transferring into and out of the firm for designated region.
*Identify trends and patterns in branch region offices.
*Conduct effective branch reviews prior to firm audits.
*Review quarantined incoming/outgoing email.
*Identify trends and patterns in region branch activity.
*Communicate significant issues to management personnel.
*Make client contacts as deemed necessary.
Field Supervision Director
Edward Jones
05.2001 - 02.2008
*Supervise branch trade activity through review of paper and system reports.
*Educate Investment Representatives and branch associates on compliance and regulatory
issues.
*Complete specialized reviews of trading activity to ensure compliance with industry and
firm policy.
*Assist outside legal counsel as Corporate Representative in FINRA Arbitration Cases
*Assist with inquiries from Internal Audit.
*Review large stock positions transferring into the firm.
*Identify trends and patterns in branch offices and/or regions.
*Review and approve outgoing sales correspondence.
*Conduct effective branch audits.
*Review incoming email exceptions.
*Identify trends and patterns in branch activity.
*Communicate significant issues to management personnel.
*Make client contacts as deemed necessary.
Education
BBA - Marketing/Management
Southeast Missouri State University
Cape Girardeau, MO12.1986
Skills
- Workload prioritization
- Training and mentoring
- Financial Management
- Detail Oriented
- Policy Implementation
- Decision-Making
- Interpersonal Communication
Certification
- Securities LicensedSeries 3,7,9, 10,24,63 and 66 - 15+ years
Timeline
Regional Supervisor - Vice President
Wells Fargo Advisors Financial Network
02.2008 - 04.2023
Field Supervision Director
Edward Jones
05.2001 - 02.2008
BBA - Marketing/Management
Southeast Missouri State University
- Securities LicensedSeries 3,7,9, 10,24,63 and 66 - 15+ years
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