Tennis
Jametriss Roulhac
Summary
Knowledgeable Registered Investment Adviser (RIA) Compliance Professional with documented success in developing policies, leading training programs, and managing compliance reporting to achieve effective and efficient compliance programs. Organized and analytical offering 15 years of progressive career development in RIA regulation and compliance. Methodical with exceptional presentation and communication skills. Strong background working with federal and state regulations. Detail-driven and focused on maximizing company compliance with applicable laws and standards.
Overview
23
23
years of professional experience
1
1
Certification
1
1
Language
Work History
Director of Compliance
RIA in a Box, Inc.
01.2018 - Current
- Utilize my knowledge of investment advisory regulation, compliance, and the RIA business model to provide guidance and advice to registered investment advisory (RIA) firms in Florida, Georgia, North Carolina, Louisiana, and Virginia, at both the SEC and state level
- Assist clients in operating their RIA firms by consulting on regulatory matters, helping to update compliance documents, and interfacing with clients, via email, phone, and video chat throughout the day
- Research securities industry rule changes and assist in drafting policies and procedures for RIA compliance with any new regulatory requirements
- Prepare and conduct webinars, checklists, and other resources to assist RIA's in effectively operating their overall compliance programs
- Customize and review RIA firm regulatory filings, as well, as review documents and marketing materials for compliance with RIA regulations.
Assistant Vice President | Team Manager - Asset Wealth Management Board Reporting
Deutsche Bank
01.2016 - 01.2018
- Provide guidance and expertise to the Board Reporting and Sales Practice Support team which is responsible for providing ongoing support to the Deutsche Asset Wealth Management organization
- Manage the team in all aspects of the Deutsche Fund Board and Germany Fund Board reporting process, as well as reviewing monthly, quarterly and annual surveillance reports to ensure compliance with the Investment Company Act, other regulations and internal limits with respect to institutional clients, proprietary/sub-advised retail funds and ERISA clients managed by the firm.
Assistant Vice President | Compliance Officer - Compliance Testing
Deutsche Bank
01.2014 - 01.2016
- Conduct reviews of all U.S
- Banking, broker-dealer and investment advisory activities with a view towards assessing compliance with applicable federal and state banking and securities laws; as well as Deutsche Bank's own policies and procedures
- Coordinate with other professionals in the organization, including Business Line Compliance, Regulatory Inquiry staff, and Surveillance Analysts
- Communicate examination results, present identified issues to the business, work with the business to develop and implement a plan of corrective action and track the status of the corrective action agreed upon
- Prepare written inspection reports and maintain detailed documentation of work product
- Provide feedback to Business Line Compliance and to the relevant business area where there are issues or gaps in procedures, or other recurring issues.
Government Analyst II
Florida Office of Financial Regulation
01.2014
- Provide technical guidance and expertise to the examination staff involving open cases
- Review and evaluate examination reports and work product received from regional office managers to ensure that the reports are in compliance with the bureau's internal procedures and substantiate any violations reported in accordance with Chapter 517, Florida Statutes and the rules promulgated thereunder
- Communicate examination report deficiencies to the regional office managers and work with them to provide guidance and direction to resolve outstanding deficiencies
- Review existing statutes and rules to determine those that need revision and identify new initiatives and proposals
- Draft proposed language and review with management team
- Provide assistance to the training coordinator in the development of training methods and examination techniques to enhance the skill set of the examination staff.
Financial Administrator
Florida Office of Financial Regulation
01.2012 - 01.2014
- Administer the provisions of Chapter 517, Florida Statutes and Department Administrative Rules regarding the examination of broker/dealers, investment advisers, and associated persons
- Plan, direct and review the activities of the staff in the South Florida region, which includes the West Palm Beach and Miami offices, involving the examination and investigation or registered and unregistered broker/dealers, associated persons, issuers, promoters and investment advisers
- Provide training for examination staff in examination procedures and techniques
- Assist regional office examination staff in conducting complex on-site examinations
- Respond to inquiries and provide technical advice to senior level management and legal staff concerning the final resolution of examinations, investigations, administrative and civil actions
- Review and research state and federal laws and regulations and disseminate necessary information to examination staff
- Participate in various policy decisions regarding the enforcement of Chapter 517, Florida Statutes as it relates to the broker/dealer and investment adviser examination program.
Regulatory Analyst
Financial Industry Regulatory Authority (FINRA)
01.2011 - 01.2012
- Conducted comprehensive reviews and investigations into possible violations of FINRA rules and/or federal securities laws, using internal FINRA systems and external resources such as the internet
- Effectively communicated with whistleblowers, potential respondents, and their representatives, both on and off the record
- Drafted quality written referrals to appropriate authorities, including FINRA Enforcement and government regulators
- Drafted requests for documents and information pursuant to Rule 8210
- Managed and maintained whistleblower complaint records.
Area Financial Manager
Florida Office of Financial Regulation
01.2005 - 01.2011
- Planned, directed, organized, and supervised office staff which examines and investigates registered and unregistered broker/dealers, agents, issuers, promoters and investment advisers
- Directed the activities and reviewed the work product of Examiners concerning their compliance examinations and enforcement examinations
- Provided training for examination staff in examination procedures and techniques
- Conducted examinations and assisted examination staff in conducting complex on-site examinations
- Responded to inquiries and provided technical advice and recommendations to senior level management and legal staff concerning the final resolutions of examinations, investigations, administrative and civil actions
- Conducted and/or assisted with depositions of targets identified in investigations and examinations.
Regional Account Manager
AIM Healthcare Services inc.
01.2004 - 01.2005
- Performed on-site audits of credit balances for hospitals throughout Jacksonville and surrounding areas
- Reviewed, analyzed, and recovered overpayments for healthcare insurance companies made to healthcare providers.
Project Analyst
Merrill Lynch
01.2003 - 01.2004
- Managed the daily operation of the ROA Service Team and provided Mutual Fund and ROA training to associates to ensure accurate payment to clients
- Verified ROA refund payments in accordance with company policies and regulatory guidelines
- Ensured that appropriate ROA breakpoint discounts were applied to client accounts in accordance with Mutual Fund rules
- Performed daily reconciliation of Merrill Lynch Money Market deposit, distribution, and tax reporting accounts and verified/processed annuity trades within omnibus accounts for the Broker/Dealer Services Team.
Senior Associate
Merrill Lynch
01.2002 - 01.2003
- Reviewed, evaluated, and monitored account transfer requests in accordance with NSCC and other regulatory agencies rules and regulations
- Ensured the integrity of the assets of Merrill Lynch were protected by monitoring the receipt/delivery of assets and accounts from other financial institutions
- Recognized, researched, and resolved problems that may have resulted in monetary or integrity loss to the firm and other financial firms.
Senior Associate
Merrill Lynch
01.2001 - 01.2002
- Provided Mutual Fund and account specific information to shareholders of Merrill Lynch Mutual and Money Market Funds
- Prepared written correspondence for clients who requested instructions for liquidations, re-registrations, and purchases.
Education
Master of Business Administration -
Webster University
01.2008
Bachelor of Science in Business Administration -
Florida A&M University
01.2000
Skills
- Regulatory expertise
- Federal and State Regulations
- Compliance Reviews
- Document Review
- Regulations Enforcement
- Reporting Requirements
- Audit Management
- Regulatory Knowledge
- Compliance Reporting
- Regulatory Examinations
- Compliance Monitoring
- Regulatory Documentation
Accomplishments
- Successfully and consistently provided high-level compliance consultation services for SEC RIAs and state-level RIAs for over 130 clients for more than five years.
- Successful management of the Bureau's new examination initiative in the South Florida region. The region met and/or exceeded the targeted number of Investment Adviser examinations as established by executive management.
- Completed more than 30 preliminary reviews and drafted more than 10 referrals as a Regulatory Analyst.
- Conducted reviews and investigated matters that contributed to obtaining permanent bars for three brokers.
- Consistently exceeded performance goals established by Division management in the areas of enforcement examinations completed, compliance examinations completed, and compliance examinations that resulted in action. At the time of departure, the Jacksonville regional office was at 208%, 320%, and 200% of goal, respectively.
RIA in a Box - Director of Compliance
Florida Office of Financial Regulation - Financial Administrator
Regulatory Analyst - FINRA
Florida Office of Financial Regulation - Area Financial Manager
Other Information
- Contributor or facilitator for numerous RIA compliance webinars on various topics as well as instructor on several Investment Advisor Representative Continuing Education (IAR CE) training sessions.
- Compliance Testing Representative - DB Process Champion Project (2015 - 2016), Central Compliance Representative - DB Quality Assurance Self-Assessment Project (2014-2015), Project Manager - Bureau Of Enforcement FINRA Rule 5122 and Rule 5123 Project (2013 - 2014)), Panel Speaker - OFR Bureau of Enforcement Annual Training Program (2013), Roundtable Participant - Securities and Exchange Commission White Collar Roundtable (2013), Regulatory Panel Speaker - Financial Markets Association 2013 Securities Compliance Seminar (2013), OFR Securities/Futures Committee Representative - Bank Secrecy Act Advisory Group (2012 - 2013)
Certification
Certified Fraud Examiner (CFP) - Inactive
Additional Information
Alpha Kappa Alpha Sorority Inc. - Member
Interests
Travel
Reading
History
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Software
Microsoft Office Suite
SalesForce
HubSpot
Zoom
Microsoft Teams
Google Product Suite
Quote
Those who leave everything in God's hands, will eventually see God's hand in everything.
Unknown
Timeline
Director of Compliance
RIA in a Box, Inc.
01.2018 - Current
Assistant Vice President | Team Manager - Asset Wealth Management Board Reporting
Deutsche Bank
01.2016 - 01.2018
Assistant Vice President | Compliance Officer - Compliance Testing
Deutsche Bank
01.2014 - 01.2016
Government Analyst II
Florida Office of Financial Regulation
01.2014
Financial Administrator
Florida Office of Financial Regulation
01.2012 - 01.2014
Regulatory Analyst
Financial Industry Regulatory Authority (FINRA)
01.2011 - 01.2012
Area Financial Manager
Florida Office of Financial Regulation
01.2005 - 01.2011
Regional Account Manager
AIM Healthcare Services inc.
01.2004 - 01.2005
Project Analyst
Merrill Lynch
01.2003 - 01.2004
Senior Associate
Merrill Lynch
01.2002 - 01.2003
Senior Associate
Merrill Lynch
01.2001 - 01.2002
Master of Business Administration -
Webster University
Bachelor of Science in Business Administration -
Florida A&M University