Kathryn Cummins
San Diego,CA
Summary
Head of Regulatory Legal Operations equipped with expert knowledge of regulatory and legal operations. Wide-ranging experience in preparing metrics and reporting for executive leadership, auditors, regulators and managing directors. Detail and deadline oriented; ability to execute routine work independently and provide quality deliverables on deadline. Tremendous experience with writing, editing and revising department policies and procedures. Collaborates effectively, cross-functionally, amongst multiple business units.
Overview
18
18
years of professional experience
1
1
Certification
Work History
AVP- Litigation, Regulatory & Customer Complaints
LPL Financial, Inc.
09.2023 - Current
- Managed projects efficiently, ensuring timely delivery and high-quality results.
- Involved with the creation of executive level presentation material related to legal matters.
- Created a robust metric and data analytic program to provide insight into department function and efficiency.
- Established policies and procedures that improved operational efficiency within the organization.
- Led initiatives focused on employee engagement, resulting in higher retention rates and improved workplace morale.
- Developed and implemented new strategies and policies to establish long-term business objectives and provide strong and sustainable organizational leadership.
- Streamlined operations to maximize business efficiency.
Sr. Analyst, Regulatory Legal Ops
LPL Financial
07.2019 - Current
- Support the Head of Regulatory and senior leadership on a variety of operational, strategic, functional and ad hoc projects & initiatives as it relates to efficiency of the department
- Serve as a liaison between the Regulatory and Litigation/Arbitration teams with regard to reporting and metrics
- Responsible for assisting senior leadership with creating, managing and improving upon KPI/KRIs, which are used for proactive reporting
- Supports initiatives to improve the operational capabilities of the firm.
Analyst, Regulatory
LPL Financial
07.2013 - 06.2019
- Worked cross functionally, with various business partners in the firm, to collect, analyze, and produce documents and other materials in response to regulatory requests
- Assisted with regulatory exams and inquiries as well as assisted with the development and maintenance of department procedures
- Reviewed securities transactions for suitability and documentation, including variable annuities, mutual funds, equities, and alternative investments
- Also responsible for drafting responses, collaborating with the regulatory attorney as well as various non-CLR business units.
Branch Office Manager & Investment Consultant
Scottrade, Inc.
07.2006 - 07.2013
- Developed a strong sales team that provided exceptional customer service to retail brokerage clients, while also driving revenue opportunities for the firm
- Lead branch associates to grow business opportunities in the local market via in-branch customer contact and seminars
- Ensured that branch sales performance objectives were established and collaboratively met
- Ensure sales professionals are adhering to both company and regulatory requirements
- Responsible for the ongoing performance management, coaching and development of sales related branch staff and overall branch sales productivity
- Performed and coached to proactive outbound phone sales activities
- Manage corporate relationships and built business partnerships across the firm.
Education
Master of Business Administration - Financial Services
Golden Gate University
San Francisco, CABachelor of Science - Finance
Sonoma State University
Rohnert Park, CASkills
- Regulatory analysis & production
- Leadership & mentorship
- Department metrics and reporting
- Effective communication
- Efficiency/process improvement
- Detailed & organized
- Creation of policies & procedures
- Analytical thinking
- Regulatory compliance
- Problem solving
- Cross-functional collaboration
- Team building
- Process improvement
- Report Preparation
Accomplishments
- Transformed the regulatory legal operations team by identifying and implementing process efficiencies related to legal reporting and regulatory data analytics.
- Extensive experience with assisting in-house counsel on a variety of regulatory reporting requirements that are reviewed by the Board of Directors and internal and external auditors.
- Proficient with regard to assisting in-house counsel with responding to regulatory inquiries and exams from a variety of regulators including FINRA, SEC and NASAA.
Certification
- FINRA Series 7
- FINRA Series 9/10
- FINRA Series 63
References
References available upon request.
pc proficiency
- Tableau
- Microsoft Word
- Microsoft Excel
- Salesforce
- Seibel
- Microsoft PowerPoint
- Smart Sheet
- Microsoft Box
Timeline
AVP- Litigation, Regulatory & Customer Complaints
LPL Financial, Inc.
09.2023 - Current
Sr. Analyst, Regulatory Legal Ops
LPL Financial
07.2019 - Current
Analyst, Regulatory
LPL Financial
07.2013 - 06.2019
Branch Office Manager & Investment Consultant
Scottrade, Inc.
07.2006 - 07.2013
Master of Business Administration - Financial Services
Golden Gate University
Bachelor of Science - Finance
Sonoma State University
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