Jan McCluney
Gastonia ,NC
Overview
18
18
years of professional experience
1
1
Certification
Work History
Enterprise Compliance Consultant
Northwestern Mutual
Remote
05.2023 - Current
- Conduct regular reviews of existing policies and procedures, ensuring continued alignment with evolving industry standards and best practices.
- Develop metrics-driven approaches to tracking compliance performance across the organization, providing valuable insights into overall program effectiveness.
- Collaborate with management to develop effective strategies for addressing identified compliance risks and gaps.
- Implement ongoing monitoring systems to detect potential non-compliance incidents promptly, minimizing negative impacts on business operations.
Senior Compliance Analyst
Wells Fargo
Charlotte, NC
01.2023 - 05.2023
- Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
- Provided guidance, advice and training to improve business understanding of related laws and regulatory requirements.
- Gathered, organized and evaluated data to make accurate assessments of current operations.
- Liaised with risk management, internal audit and employee services departments to direct compliance issues to appropriate channels for investigation and resolution
- Wrote and presented reports outlining findings and recommendations from compliance audits.
- Enhanced regulatory, strategic and operational performance to keep in alignment with deadlines.
- Reviewed company forms, marketing materials and communication procedures for compliance with applicable laws and guidelines.
Senior Compliance Analyst - MRR
LPL Financial
Remote
11.2017 - 12.2022
- Reviewed advisor marketing materials in standard with FINRA policy and Rule 2210.
- Consulted with advisors in regard to verbiage changes for marketing material for stationary, seminars and newsletters.
- Reviewed websites, Twitter and LinkedIn to ensure compliance standards were met.
- Consulted with other departments in regard to procedures and policies.
Compliance Analyst
LPL Financial
Charlotte, NC
03.2015 - 11.2017
- Conducted financial on legal research and analysis for prospects wishing to affiliate with LPL.
- Analyzed financial documentation to determine the credit risk of the prospect
- Collected documentation in regard to customer complaints and other CRD disclosures.
- Identified risks associated with the prospect and presented them to our executive vice president committee for a decision to be made in regard to the prospect affiliating with LPL.
- Performed complex research analysis in regard to termination, internal reviews and customer complaints.
Senior Broker Dealer Principal
Metlife
Charlotte, NC
10.2014 - 03.2015
- Reviewed and approved new account applications from broker dealer distribution channels to ensure all business, compliance and regulatory requirements were met.
- Performed complex new account functions, including reviewing and signing off on the suitability of accounts, including switches and replacements.
- Inspected all new business cases for compliance with internal, FINRA, and SEC suitability and replacement guidelines.
- Reviewed the quality and account maintenance processes.
- Identified risks associated with projects, contract approvals and other client accounting issues.
- Identified risks associated with client proposals generated per the rep.
- Assisted reps with questions in regard to tax sensitive portfolios.
Compliance Analyst
LPL Financial
Charlotte, NC
05.2013 - 10.2014
- Performed daily and periodic surveillance of trading activity and other activities of financial advisors.
- Lead investigations for questionable sales activity.
- Exceeded quarterly resolutions goals by 100% for aged items and 92% for flag resolutions.
- Managed selected accounts to monitor restricted account processes within the SAM platform.
- Trained Accenture team members on applying due diligence to the procedures for the F614/UVPA process for advisory compliance.
Corporate Action Specialist
LPL Financial
Charlotte, NC
03.2011 - 05.2013
- Researched and reviewed complicated, corporate action offers and communicated them to the advisor and other internal departments.
- Ensured mandatory and voluntary offers were updated and processed on a timely basis.
- Posted cash, stock and dividend allocations on payable date.
- Assisted with writing procedures for training with the Accenture outsourcing project.
Retirement Account Specialist
LPL Financial
Charlotte, NC
04.2007 - 03.2011
- Reviewed retirement distribution requests, and counseled advisors of the benefit entitlements and options available to their clients.
- Communicated rejected requests and issues to advisors and provided solutions on how to bring requests in compliance to departmental guidelines.
- Ensured account distributions were processed on time.
- Trained new team members on processing retirement distributions.
Education
Bachelor Of Science - Business Management
Johnson C. Smith University
Charlotte, NCSkills
- Regulatory expertise
- Legal research
- Documentation review
- Compliance monitoring
- Compliance reporting
Certification
FINRA 7, 24, 63, & 66
Timeline
Enterprise Compliance Consultant
Northwestern Mutual
05.2023 - Current
Senior Compliance Analyst
Wells Fargo
01.2023 - 05.2023
Senior Compliance Analyst - MRR
LPL Financial
11.2017 - 12.2022
Compliance Analyst
LPL Financial
03.2015 - 11.2017
Senior Broker Dealer Principal
Metlife
10.2014 - 03.2015
Compliance Analyst
LPL Financial
05.2013 - 10.2014
Corporate Action Specialist
LPL Financial
03.2011 - 05.2013
Retirement Account Specialist
LPL Financial
04.2007 - 03.2011
FINRA 7, 24, 63, & 66
Bachelor Of Science - Business Management
Johnson C. Smith University