Lisa Fraser-Harris
Rutherford
Summary
Expertise providing risk assessments, driving process improvements, and facilitating training in support of the financial services industry. Leverage acuity for research and investigation with knowledge of regulatory requirements and best practices to influence procedural and process improvements, efficiencies, and compliance. Capacity for communication, collaboration, and leadership, engaging stakeholders across organizational hierarchies to impact operations and facilitate objectives.
Overview
10
10
years of professional experience
1
1
Certification
Work History
Marketing Advertising Communications Reviewer, AVP
MORGAN STANLEY SMITH BARNEY
New York
10.2023 - Current
- Support Wealth Management Risk functions by ensuring compliance of marketing material with respect to company policies and FINRA regulations.
- Action marketing reviews and approvals for social media, FA social profiles, banking and home office materials.
- Foster consistent compliance messaging among the various business units for campaigns and initiatives.
- Execute FINRA advertising material filings and ensure payment of monthly FINRA filing invoice for Wealth Management.
Compliance Manager
Haven TECHNOLOGIES
New York
01.2021 - 06.2023
- Drove regulatory change and business compliance for the organization, including human resources (HR), corporate compliance, and data privacy.
- Conducted compliance audits to ensure adherence to corporate policies, and external rules and regulations.
- Built trusting relationships with business leaders, identifying and documenting business risks, formulating and monitoring risk controls.
- Prompted compliance training to ensure regulatory requirements were met.
- Facilitated the privacy request control, responses, and execution, satisfying privacy rights requirements.
- Identified and managed the adoption of new and existing regulatory requirements for the newly established firm.
Regulatory Analyst
Haven Life
New York
10.2020 - 12.2021
- Managed regulatory obligations; tracked, analyzed, and spearheaded the implementation of new and existing insurance regulatory requirements within Haven Life.
- Led annual compliance mailing initiatives.
- Tested digital policy packet forms, ensuring consistency, and compliance with regulations.
- Collaborated with internal and external business partners, addressing regulatory requirements, market conduct exams and audits, risk management, new product launches, and other business projects.
- Partnered with developers, ensuring timely regulatory digital application updates.
Compliance Manager - Regulatory Change Management
Prudential Advisors
Newark
02.2018 - 04.2020
- Administered Regulatory Change Management (RCM) and policy management processes.
- Reviewed, disbursed, and closed regulatory alerts.
- Ensured compliance of Prudential Advisors by testing, monitoring, and reviewing regulatory changes for adoption into company policies.
- Provided ongoing compliance support and guidance as subject matter expert (SME) to management teams.
- Facilitated FINRA regulatory filing of quarterly 4530(d) complaints.
- Satisfied regulatory requirements and inquiries by collaborating with State officials regarding regulatory filings, requirements, and inquiries.
- Adopted, revised, and managed policies and written supervisory procedures (WSP), minimizing risk exposure to the business units, clients, and Pruco Securities.
- Partnered with business partners to provide compliance guidance regarding internal controls for pending exams, fulfill and deliver training requirements, ensuring regulatory updates were reflected into procedures, and creating and distributing communications regarding updates and policy changes.
- Initiated implementation of key initiatives by aligning with business partners, senior management and legal.
- Supervised senior exploitation process; reviewed potential cases of diminished capacity, fraud, and financial exploitation of seniors, providing notification to legal, applicable product areas and State Adult Protective Services (APS) for investigation.
- Conducted Quarterly Office Supervisory Junction (OSJ) Checklist reviews and completed Annual Compliance Risk Assessments (CRA), fulfilling supervisory responsibilities.
- Maintained detailed records of all compliance related activities.
Compliance Analyst
Prudential Advisors
Newark
02.2017 - 01.2018
- Managed the Broker Dealer compliance policy manual.
- Drafted and updated policies and procedures.
- Trained business unit editors on policy management system and issued communications on policy changes.
- Directed regulatory tracking conference calls, addressing regulatory changes, providing business responders with listing of all open (new and pending) alerts, and reviewing business responder action plans.
- Analyzed new State and FINRA regulations, determined impact to existing policies and procedures, updated or created new policies, ensuring compliance.
- Oversaw annual Compliance Risk Assessment (CRA) of key risks and internal controls to identify gaps.
- Participated in focus initiative working groups, providing compliance guidance and insight.
- Prepared Chief Compliance Officer (CCO) Report, including technical data, for quarterly board meeting.
Marketing Review Compliance Analyst
Prudential Advisors
Newark
10.2015 - 01.2017
- Supported compliance functions regarding approval of sales and advertising material for the national sales force of Prudential Advisors.
- Ensured compliance of marketing material with respect to policies, state insurance laws, and FINRA regulations.
- Delivered marketing review of advertisements, sales training, reference, recruiting, financial educational and new product launch materials for use by the sales force.
- Partnered with business units, ensuring consistency in messaging and execution of marketing initiatives.
Education
Bachelor of Science (BS) - Finance
Hampton University
Skills
- Investigation
- Analysis and Review
- Risk Assessment
- Management
- Mitigation
- Compliance Policy Management
- Solutions Management
- Regulatory Standards
- Reporting
- Best Practices
- Relationship Management
- Communication
- Project Management
- Cross Functional Collaboration
- Partnerships
- Issue Management
- Stakeholder Engagement
- Leadership and Development
- Marketing Review
Certification
- FINRA Series 7 and Series 24
- Google Suite; MS Office Suite: Outlook, Word, Excel, and PowerPoint; Red Oak, Archer, Social Patrol, Compliance.ai
Timeline
Marketing Advertising Communications Reviewer, AVP
MORGAN STANLEY SMITH BARNEY
10.2023 - Current
Compliance Manager
Haven TECHNOLOGIES
01.2021 - 06.2023
Regulatory Analyst
Haven Life
10.2020 - 12.2021
Compliance Manager - Regulatory Change Management
Prudential Advisors
02.2018 - 04.2020
Compliance Analyst
Prudential Advisors
02.2017 - 01.2018
Marketing Review Compliance Analyst
Prudential Advisors
10.2015 - 01.2017
Bachelor of Science (BS) - Finance
Hampton University
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