Summary
Overview
Work History
Education
Skills
Certification
Summary
Timeline
Generic

KENNETH M. KRAJCSOVICS

Chester,NJ

Summary

Dynamic senior thought leader professional possessing a proven track record of superior performance, seeks to leverage expertise in Organizational Leadership, Program Execution, Financial Planning, Strategic Planning, Team Building, Major Client Relations, Continuous Improvement, Data Insight, Stakeholder Engagement, and Regulatory Compliance to support key initiatives and goals within a progressive organization.

Overview

24
24
years of professional experience
1
1
Certification

Work History

Compliance Manager - Eastern Division/Market Expansion

JPMORGAN CHASE & CO.
03.2022 - Current
  • Created a monitoring platform for compliance.
  • Maintain Compliance manual for policy updates/changes.
  • Lead a forum that reviews surveillance escalated initiatives for appropriate dispositions.
  • Manager of Regional Compliance teams providing advice and counsel on FINRA/SEC/OCC regulations, Compliance risk, and firm policies.
  • Managed a team of 7 Regional Compliance Officers.
  • Represent CWM Compliance in working groups for new business initiatives.
  • Represent CWM Compliance on cross-functional working groups to resolve compliance and risk control gaps
  • Co-led Compliance Manager for new remote advice line of business offering Advisory and Brokerage products.

Regional Compliance Officer – Manhattan/Brooklyn

JPMORGAN CHASE & CO.
01.2021 - 02.2022
  • Interpreted Compliance Policies and Regulations
  • Assisted in addressing branch control issues
  • Acted as a resource to Branch Supervision during the pre-hire process
  • Reviewed surveillance items and coordinated possible remediation/discipline
  • Implemented branch visits and reviewed New Business Initiatives.

Executive Director - Chase Wealth Management Compliance

JPMORGAN CHASE & CO.
06.2015 - 08.2019
  • Acted as lead Subject Matter Expert (SME) for various financial products
  • Managed a team of Senior Product Principals in compliance marketing review
  • Coordinated with senior management and various business groups on regulatory examinations and inquiries
  • Established and implemented a Compliance Program for Packaged Investment Products
  • Implemented trading rules, controls, and required disclosure for self-directed online platform.

Director - Citigroup Global Markets - Surveillance and Product Subject Matter Expert

CITIGROUP GLOBAL MARKETS, INC.
06.2009 - 05.2015
  • Acted as lead Subject Matter Expert (SME) for various financial products
  • Oversaw operations and maintained financial controls for multiple investment products
  • Managed a surveillance team of 11 senior analysts
  • Led efforts to create a cost-effective surveillance program
  • Developed firm-wide policies and approval processes for product training/system controls.

Senior Vice President - Citi Product Compliance

CITIGROUP GLOBAL MARKETS, INC.
  • Provided support to key business areas across Consumer Bank and Private Bank sectors of the firm
  • Implemented product compliance coverage during conversions
  • Worked with 3rd party vendor to transition to a new trading platform.

VP/Senior Vice President - Insurance & Annuity Compliance

SMITH BARNEY - CITIGROUP GLOBAL WEALTH MANAGEMENT
07.2006 - 06.2009
  • Managed Insurance/Annuity Compliance desk
  • Spearheaded coordination with Business Administration and Marketing to develop Exchange Transfer Review Unit
  • Assisted Smith Barney Regulatory Unit on regulatory examinations.

Sales Desk Manager/Associate Director - Annuity Sales & Marketing

UBS FINANCIAL SERVICES
06.2000 - 07.2006
  • Oversaw all aspects of management for Annuity Sales & Marketing Desk
  • Collaborated with annuity companies to develop business plans and marketing initiatives
  • Authored branch and home office supervisory guide to annuity trades.

Senior Compliance Analyst - Product Surveillance Unit

UBS FINANCIAL SERVICES
  • Performed surveillance of insurance and annuity trading
  • Developed policies for state-specific regulatory bodies.

Non-Proprietary Mutual Fund Sales Liaison - Mutual Funds Sales & Marketing

UBS FINANCIAL SERVICES
  • Conducted research and analysis on mutual funds.

Education

Bachelor of Science degree in Business Administration -

RIDER UNIVERSITY

Skills

  • Project Management
  • Account Management
  • Business Development
  • Strategic Planning
  • Public Relations
  • Corporate Communications

Certification

  • FINRA Series 7
  • FINRA Series 24
  • New Jersey Life Insurance License

Summary

  • Program Management, Highly experienced in assessing true needs and expectations, building lasting professional relationships. Grow and deepen strategic partnerships to achieve mutually beneficial outcomes.
  • Leadership, Have a demonstrated track record of outstanding service; a calm, dependable professional who devotes every effort to achieving the best results.
  • Process Streamlining, Effectively manage diverse tasks, with varying degrees of complexity, within a wide range of environments; evaluate situations, assess emergent needs, and implement solutions in a prompt and efficient/effective manner.
  • Resource Coordination, Possess a proven ability to anticipate unique requirements or potential roadblocks in all situations. Continually develop back-up plans to minimize risk and deliver exceptional results; streamline communication and implementation channels to effectively meet client and organizational needs.

Timeline

Compliance Manager - Eastern Division/Market Expansion

JPMORGAN CHASE & CO.
03.2022 - Current

Regional Compliance Officer – Manhattan/Brooklyn

JPMORGAN CHASE & CO.
01.2021 - 02.2022

Executive Director - Chase Wealth Management Compliance

JPMORGAN CHASE & CO.
06.2015 - 08.2019

Director - Citigroup Global Markets - Surveillance and Product Subject Matter Expert

CITIGROUP GLOBAL MARKETS, INC.
06.2009 - 05.2015

VP/Senior Vice President - Insurance & Annuity Compliance

SMITH BARNEY - CITIGROUP GLOBAL WEALTH MANAGEMENT
07.2006 - 06.2009

Sales Desk Manager/Associate Director - Annuity Sales & Marketing

UBS FINANCIAL SERVICES
06.2000 - 07.2006

Senior Vice President - Citi Product Compliance

CITIGROUP GLOBAL MARKETS, INC.

Senior Compliance Analyst - Product Surveillance Unit

UBS FINANCIAL SERVICES

Non-Proprietary Mutual Fund Sales Liaison - Mutual Funds Sales & Marketing

UBS FINANCIAL SERVICES

Bachelor of Science degree in Business Administration -

RIDER UNIVERSITY
KENNETH M. KRAJCSOVICS