Summary
Overview
Work History
Education
Skills
Timeline
Generic

Jennifer Soltis

New Franklin,OH

Summary

Detail-oriented Compliance Officer dedicated to improving policies and procedures in all business areas. Hardworking and driven with quality-focused and proactive approach. Bringing years of experience in the Financial Services Industry.

Overview

21
21
years of professional experience

Work History

Chief Compliance Officer/OSJ Manager

Vantage Financial Group
10.2016 - Current
  • Developed and maintained compliance database, tracking all compliance activities and documents.
  • Responded to employee inquiries regarding compliance regulations and procedures.
  • Maintained up-to-date knowledge of current and emerging compliance regulations.
  • Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
  • Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
  • Identified, investigated and documented compliance violations and recommended corrective measures.
  • Monitored and assessed compliance risks associated with operational processes and procedures.
  • Managed practical action plans to respond to audit discoveries and compliance violations.

Chief Compliance Officer

Financial Management Strategies
10.2016 - Current
  • Responded to employee inquiries regarding compliance regulations and procedures.
  • Maintained up-to-date knowledge of current and emerging compliance regulations.
  • Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
  • Reviewed, revised and updated compliance policies and procedures to confirm continual compliance with applicable laws.
  • Identified, investigated and documented compliance violations and recommended corrective measures.
  • Prepared and submitted regulatory filings in timely manner.
  • Managed practical action plans to respond to audit discoveries and compliance violations.

Chief Compliance Officer

Cirrus Wealth Management
09.2015 - 09.2016
  • Responded to employee inquiries regarding compliance regulations and procedures.
  • Maintained up-to-date knowledge of current and emerging compliance regulations.
  • Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
  • Established independent Registered Investment Advisor

Central Review Principal/Officer

PNC Financial Services
06.2002 - 09.2015
  • Established new team to handle all correspondence and retail communication supervision
  • Helped meet changing demands by recommending improvements to business systems or procedures.
  • Established policies and procedures pertaining to communication
  • Reviewed business submissions of Registered Representatives and Investment Advisor Representatives to ensure compliance with firm and regulatory guidelines.

Education

Associate of Science - Paralegal Studies

Academy of Court Reporting
Akron, OH

Skills

  • Securities Licenses, Series 7, Series 24, Series 4 Series 53, Series 66
  • Ohio Insurance License Life/Health
  • Conflict Resolution Tactics
  • Regulatory Standards
  • Compliance Management
  • Compliance Training

Timeline

Chief Compliance Officer/OSJ Manager

Vantage Financial Group
10.2016 - Current

Chief Compliance Officer

Financial Management Strategies
10.2016 - Current

Chief Compliance Officer

Cirrus Wealth Management
09.2015 - 09.2016

Central Review Principal/Officer

PNC Financial Services
06.2002 - 09.2015

Associate of Science - Paralegal Studies

Academy of Court Reporting

Similar Profiles

CREATE PROFILE
Jennifer Soltis