Jody Morgan
Des Moines,IA
Summary
Experienced OSJ Manager and Compliance Analyst with over 20 years of experience in the Financial Industry. Excellent reputation for resolving problems and improving customer satisfaction, along with the ability to develop relationships at all levels.
Overview
17
17
years of professional experience
Work History
Supervision Specialist/Home Office OSJ
Cetera Advisor Networks LLC
Des Moines, IA
06.2021 - Current
- Managed group of Financial Advisors and OSJ's in the Field.
- Acted as resource and mentor to my hierarchy.
- Supervised their New Business Transactions for suitability and accuracy according to broker dealers established guidelines.
- Supervised their emails through Smarsh system for content and accuracy.
- Reviewed their Correspondence, Check Blotters and Gift Logs.
- Reviewed their Advertising submissions and worked with Ad Review Compliance to get submissions approved.
Home Office OSJ Manager
Voya Financial Advisors
Des Moines, IA
06.2016 - 06.2021
- Managed group of Financial Advisors and OSJ's in the Field.
- Acted as resource and mentor to my hierarchy.
- Supervised their emails through the Global Relay system for content and accuracy.
- Reviewed their Correspondence, Check Blotters and Gift Logs.
- Reviewed their Advertising submissions and worked with Ad Review Compliance to get submissions approved.
Regulatory Compliance Analyst
Voya Financial Advisors
Des Moines, IA
04.2011 - 06.2016
- Investigated, and responded to customer complaints and other allegations of potential activities by Registered Representatives which were not in line with standards of the Broker Dealer or regulatory body.
- Worked with various regulatory agencies to investigate, and respond to their regulatory inquiries, including FINRA, SEC and State regulatory bodies.
- Provided communication to OSJ Managers, Registered Representatives, and others as needed in keeping them informed of the progress of our investigation.
- Educated the Registered Representatives on the process of filing an amendment to their U4, and filing for E&O coverage as necessary.
- Gathered and reviewed pertinent information as necessary for resolution of customer complaints and completion of responses to regulatory inquiries by stated deadlines.
- Filed 4530 data by established deadlines
- Communicated both verbally and in writing with all levels of the organization.
Trade Review Principal
Voya Financial Advisors
Des Moines, IA
10.2004 - 04.2011
- Reviewed new business transactions for both suitability and accuracy according to established parameters.
- Communicated with Registered Representatives and their OSJ Managers on corrective actions needed to make transactions compliant.
- Communicated effectively with many internal departments, including licensing, compliance and commissions to ensure compliance with established guidelines.
Education
Simpson College
Indianola, IASkills
- Attention to Detail
- Analytical and Critical Thinking
- Dependable and Responsible
- Excellent Communication Skills
- Teamwork and Collaboration
- Problem-Solving
- Written Communication
Timeline
Supervision Specialist/Home Office OSJ
Cetera Advisor Networks LLC
06.2021 - Current
Home Office OSJ Manager
Voya Financial Advisors
06.2016 - 06.2021
Regulatory Compliance Analyst
Voya Financial Advisors
04.2011 - 06.2016
Trade Review Principal
Voya Financial Advisors
10.2004 - 04.2011
Simpson College
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