ELIZABETH KASSEN

• Responsible for Trade Blotter and Trade Log review and retention.
• Identified and remediated gaps in supervision procedures pertaining to REG BI and CRS delivery as it pertains to FINRA/SEC and firm rules and regulations.
• Handled Daily Trade Desk and Compliance Reports
• Responsible for OFAC and FINCEN filings
• Facilitated money movement requests, ACH, wires and check requests.

Preformed trade review of trades including annuities, mutual funds and other securities. Approval of firm disclosure and new account form.

Collaborate with OSJ's on various trade issues for remediation.

• Managed the Office of Supervisory Jurisdiction, served as the point of contact for FINRA reviews, and led the development of enhanced compliance programs and initiatives
• Served as Registered Options Principal for the international brokerage division, which included coordinating with ROPs to revamp the options agreement form and process for the organization
• Managed a team of 20 Financial Advisors, assigned responsibilities, reviewed work, provided coaching and mentorship, resolved escalated compliance issues, and conducted performance evaluations
• Reviewed trade blotter daily for issues and managed pre-trade approval with special circumstances
• Monitored correspondence and email of all registered members within the OSJ, investigated and resolved complaints, and served liaison for all compliance questions and issues.

• Oversaw trade review and compliance for 60 Financial Advisors for Bank of America centers in the greater Houston area, which included conducting semi-annual reviews of 70+ representatives
• Researched and interpreted new and proposed regulatory requirements to determine impact on the organization, including FINRA regulatory notices, SEC alerts, statutes, and regulations
• Conducted complex audits for various bank branches, created checklists and action items, performed follow-ups, and coordinated with representatives to ensure compliance standards were met.

• Researched complaints and reported analysis to General Counsel for determination, which included writing Letters of Indemnity for vendors and Registered Representatives
• Served as the compliance subject matter expert for legal counsel and OSJ Managers, developed relationships, and coordinated with the firm attorney to analyze and resolve industry complaints.

• Reviewed files, records, and documentation to obtain information and ensured Advisors maintained schedules and provided optimal support to clients.

• Managed administrative projects, served as primary liaison between clients and bankers to ensure compliance with IRA requirements, and delivered training to bankers across the branch
• Conducted data entry and proofreading for records, data, and reports to ensure accuracy.

• Reviewed Variable Annuity and Mutual Fund trades from field representatives and performed analysis to ensure compliance with FINRA and SEC rules and guidelines
• Served as the liaison for field representatives with compliance issues and questions.

• For RRs, managed approval of new business, and ensured books and records were maintained in accordance with FINRA and Firm regulations.

• Audited books and records of independent representatives' offices throughout the country and provided education on requirements expected of FINRA and broker dealers
• Managed and reviewed all advertising and correspondence.