Jessica Callahan
Columbia,CT
Summary
Diligent and driven Supervision financial professional who has achieved success in a variety of roles with increasing levels of responsibility. An effective communicator and team-builder with strong analytical, management and organizational skills.
Overview
15
15
years of professional experience
Work History
Manager, Dept. of Supervision
Cetera Advisor Networks LLC
El Segundo, CA
08.2024 - Current
- Work with peers and colleagues across the organization to create policies and procedures to increase efficiencies and reduce risk.
- Coach, mentor and train team members in order to improve their job performance.
- Conduct regular meetings with staff to discuss progress and identify areas of improvement.
Team Lead, Dept. of Supervision
Cetera Advisor Networks LLC
El Segundo, CA
10.2021 - 08.2024
- Created a new process/workflow for disciplinary review for registered persons of the firm
- Review Surveillance reports for trends and issues that require follow up
- Manage the workflow of review of Non Cash Comp/ Sponsor dollar events
- Serve as Supervision Liaison with Compliance Department for ongoing issues and workflows to ensure firm policies and procedures are followed
- Train new staff in relevant processes and procedures
- Support management in developing plans for future projects, initiatives and objectives
- Ongoing identification of opportunities for process improvements, implementing changes when required.
Sr. Compliance Analyst
Voya Financial
Windsor
08.2017 - 06.2021
- Serve as Compliance Liaison to assigned OSJs
- Provide support and guidance to E Communications, Ad Review and Licensing Teams
- Responsible for review of Outside Business Activity Requests and Private Securities Transaction requests
- Responsible for review of OSJ Inspections and internal ECI audits
- Collaborate with Compliance and Legal Departments on State or FINRA audit requests
- Responsible for oversight of ABQ requirements and follow up items
- Responsible for Registered Representative discipline items and presenting such items before the Field Resolution Committee for resolution.
Compliance Analyst
Voya Financial
Windsor
01.2014 - 08.2017
- Support of the compliance and oversight functions relating to the use of electronic communications tools, such as email, social media and chat functions
- Serve as a business resource and/or subject matter expert on electronic communications and work to develop requirements for new initiatives
- Create controls and develop procedures for the electronic communication tools that are supported
- Monitor, Oversight and Administrative Management for the Hearsay social media tool used by Voya broker dealer reps and employees.
Operations Manager
ING U.S. Financial Services
Windsor
10.2009 - 12.2013
- Responsible for the daily operations and management of Bundled and Unbundled Distribution processing for a team of 22 direct reports
- Responsible for meeting the required Timeliness and Accuracy objectives set forth by the Department
- Responsible for supporting the offshore initiative as well as maintaining a working relationship with offshore management
- Involved in System upgrades and enhancements, identifying and implementing workflow and process improvements
- Responsible for creating and managing to individual employee metrics as well as completing Employee Performance Reviews
- Successfully managed the transition from Legacy to OMNI EASE in 2010 and the new Transact IT system
- Worked with manager on new workflows, forms and processes.
Education
High School Diploma -
Manchester High School
01.1995
Skills
- Experienced in process improvement projects
- Management experience of multiple-sized teams in a fast-paced, challenging environment
- FINRA Series 7, 24, 66, 52, and 53 License
- Leadership
- Teamwork and collaboration
- Regulatory Compliance
- Performance Improvement
- Financial Professional Supervision
Accomplishments
- Completed the migration of the Socialware Tool to the new Social Media Hearsay platform in 2016 with ongoing administration management.
- Played a lead role and contributed to the successful transition of the Advisor Mail Retention System to the Global Relay Tool in 2014.
- Lead Chair for the Voya Blue Jeans Campaign 2017-2021
- ING Community Partners Board Secretary- ING Financial Services 2011 and 2015
Timeline
Manager, Dept. of Supervision
Cetera Advisor Networks LLC
08.2024 - Current
Team Lead, Dept. of Supervision
Cetera Advisor Networks LLC
10.2021 - 08.2024
Sr. Compliance Analyst
Voya Financial
08.2017 - 06.2021
Compliance Analyst
Voya Financial
01.2014 - 08.2017
Operations Manager
ING U.S. Financial Services
10.2009 - 12.2013
High School Diploma -
Manchester High School
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