LINDA RICH
Rochester,NY
Summary
Transformative, collaborative and engaging professional with extensive experience in compliance and risk management to ensure adherence to rules and regulations, while assessing and mitigating risks within diverse business models. Proficient in developing and executing effective programs across multiple functions and investment platforms. Instrumental in coordinating with senior leadership and business partners to achieve firm and regulatory best practices. History of success in showcasing outstanding professionalism and leadership in identifying potential compliance concerns and implementing corrective measures to minimize risk.
Overview
24
24
years of professional experience
1
1
Certification
Work History
Vice President - Compliance
BNY Mellon | Pershing Advisor Solutions
Jersey City, NJ
06.2006 - 04.2021
- Collaborated with business leaders and associates to develop compliance and regulatory best practices.
- Provided business management and associates with advice, guidance and support on a wide range of topics including compliance, regulatory and operational elements of products, services, roles and responsibilities.
- Provided timely and accurate advice, guidance and responses to business management, business development, client service, operations and relationship management teams.
- Reviewed and approved client communications and marketing material.
- Conducted investigations involving potential instances of money laundering, financial fraud and suspicious activity and effectively communicate findings to business partners and management.
- Performed customer due diligence and enhanced due diligence reviews of prospective and existing clients.
- Served as compliance representative at senior internal business/governance forums and external client and regulatory meetings.
Compliance Manager | Director
Harrisdirect (f/k/a CSFBdirect)
Jersey City, NJ
06.1999 - 01.2006
- Managed the compliance team and the firm's compliance and surveillance programs.
- Worked closely with internal and external counsel on various matters and testifying at arbitration hearings.
- Updated and maintained compliance, anti-money laundering and OFAC policies and procedures.
- Performed branch and call center audits.
- Reviewed employee trading exception reports for violations of the firm's employee trading policies.
- Reviewed and approved marketing materials, customer complaint and regulatory inquiry responses.
Assistance Compliance Manager
Harrisdirect (f/k/a CSFBdirect)
Jersey City, NJ
04.1997 - 06.1999
- Led the Compliance team responsible for the firm's compliance and surveillance programs.
- Monitored business activities, assessed risk and ensured compliance with all applicable firm and regulatory requirements.
- Established supervisory program, policies and procedures for the online trading platform.
Education
BBA - Marketing
Howard University
Washington, DC05-1986
Skills
- Legal & Regulatory Compliance
- Broker-dealer & Investment Advisory Compliance
- Risk Assessment & Mitigation
- Compliance & Operations Management
- Client Satisfaction & Retention
- Relationship Building & Management
- Effective Client Communication
- Implementation & Review of Policies & Procedures
Certification
Licenses
FINRA Series 4, 7, 24, 9, 10, 53, 63 (Active ) Inactive (Series 14 & 65)
Timeline
Vice President - Compliance
BNY Mellon | Pershing Advisor Solutions
06.2006 - 04.2021
Compliance Manager | Director
Harrisdirect (f/k/a CSFBdirect)
06.1999 - 01.2006
Assistance Compliance Manager
Harrisdirect (f/k/a CSFBdirect)
04.1997 - 06.1999
BBA - Marketing
Howard University
Licenses
FINRA Series 4, 7, 24, 9, 10, 53, 63 (Active ) Inactive (Series 14 & 65)
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