Mario Brown
Fort Mill,South Carolina
Summary
Veteran financial services professional dedicated to organizational objectives and continuous learning. Proven track record in overseeing compliance operations, enhancing team performance, and implementing effective remediation plans to mitigate regulatory risk. Holds an MBA and multiple industry licenses, including Series 6, 7, 24, 63, and 65.
Overview
1
1
Certification
12
12
years of professional experience
Work History
Compliance and Operations Principal
Innovation Partners
Charlotte, NC
10.2025 - Current
- Oversee daily brokerage and investment advisory activities to ensure compliance with FINRA, SEC, and firm policies.
- Supervise registered representatives, including review and approval of new accounts, transactions, and communications with the public.
- Conduct ongoing supervision of sales practices to identify trends, risks, and potential misconduct.
- Review and approve complex or high-risk transactions, including options, private placements, and alternative investments.
- Identify operational or compliance gaps and implement remediation plans to mitigate regulatory risk.
- Clarified regulatory requirements and suitability standards for client-facing teams to enhance compliance understanding.
- Collaborated with senior management to align supervisory practices with business strategy and regulatory expectations, ensuring a cohesive compliance framework.
- Participate in new product reviews, assessing regulatory implications and supervisory needs.
- Ensure timely escalation and resolution of client issues requiring principal intervention.
- Review and approve complex, high-risk, or exception-based trades, including block trades, principal transactions, and proprietary positions.
- Identify and mitigate trading-related risks, including market, operational, and conduct risks.
- Monitor trading activities, advertising, and sales practices to ensure alignment with rules set by regulatory bodies like FINRA.
- Designed, tested, and updated company policies and supervisory procedures to address control gaps and mitigate potential risks.
- Monitored employee registration processes to ensure compliance with regulatory standards., coordinates continuing education, and helps prepare financial or regulatory reports
First Sergeant
US Army Reserves
Charlotte, NC
10.2014 - Current
- Senior NCO in the company and is responsible for the professional development and leadership of their soldiers. They are also role models for soldiers, NCOs, and officers.
- Enforced discipline to enhance unit cohesion and operational effectiveness.
- Ensure training objectives are met and develop soldiers in the unit, while implementing individual and collective task training.
- Monitored health, welfare, and morale of unit and families to promote a supportive environment.
- Recommend and prepare enlisted soldiers for specialty and leadership schools.
- Conducted re-enlistment discussions to guide soldiers in career progression. for the company
- Manages all administrative functions for the company.
- Manages company logistical issues.
Adjunct Professor
Valencia College
, FL
10.2021 - 02.2026
- Delivered lessons in classroom, hybrid, or online formats, preparing instructional materials to enhance student engagement.
- Evaluated student performance and measured course outcomes, providing timely feedback to support academic growth.
- Submitted required records, including syllabi, attendance logs, and final grades, ensuring compliance with college systems.
- Follow campus policies, direct students to available student services, and complete professional development requirements.
Financial Advisor
Corebridge Financial
Charlotte, NC
05.2024 - 09.2025
- Guided clients in making informed financial decisions making investment plans that meet their needs and goals.
- Meet with key stakeholders and decision makers to review and recommend retirement benefits.
- Evaluated evolving regulatory requirements, ensuring retirement plan offerings consistently align with compliance standards and industry best practices.
- Maintained accurate records of client interactions and plan selections, upholding compliance and facilitating seamless audits.
- Coordinated with cross-functional teams to resolve complex retirement benefit inquiries, delivering timely and effective client support.
- Facilitated strategic partnerships with payroll providers, streamlining benefits enrollment and ensuring seamless integration for clients.
- Led educational workshops to assist staff in understanding state and local retirement benefits, improving their financial literacy and decision-making.
Financial Solutions Advisor
Merrill Lynch
Charlotte, NC
01.2023 - 05.2024
- Delivered tailored advice through client reviews and presentations, recommending investment strategies that support clients in achieving their financial objectives.
- Prepared investment recommendations aligned with goals of existing and prospective clients, enhancing their financial planning.
- Deepened relationships with current and prospective clients to effectively manage and expand book of business.
- Completing annual reviews for clients in managed book of business.
- Analyzing banking and investment data in preparation of a goals-based discussion.
- Utilized outbound communications to engage potential clients and drive acquisition efforts.
- Collaborated on developing core banking, credit, and lending solutions to enhance service offerings.
- Works with internal specialists and partners to optimize client relationship management.
- Delivering the enterprise to include referral opportunities to internal specialists.
Financial Services Professional
New York Life/ NYLIFE Securities
Maitland, FL
07.2022 - 12.2022
- Recommended tailored insurance and investment solutions to clients as a registered representative.
- Discussed financial concerns and needs of individuals.
- Consulted key stakeholders and owners on employee group benefits to include medical, life and retirement solutions.
- Enhanced employee benefits in response to business owners' requests, improving employee satisfaction.
- Facilitated appointments and meetings with clients.
- Delivered consistent customer service and support to clients, ensuring retention and satisfaction.
- Created and executed comprehensive business and marketing plans to drive growth.
- Developed strategies to identify and pursue new business opportunities.
Principal Loan Officer/Branch Manager
Motto Mortgage
Orlando, FL
01.2021 - 06.2022
- Principal loan officer that operated the branch office in full compliance with all federal, state, city, and county laws. Led a team of loan officers and administrative staff.
- Accountable for team loan closures in partnership with branch sales funnel.
- Managed mortgage loan closures within the branch funnel, focusing on overall sales performance.
- Led LO team and production by organizing weekly and biweekly meetings that enhanced team communication and alignment.
- Oversaw the performance and activities of all Loan Officers recruited to the team.
- Facilitated training exercises for the team and provided supervision for Loan Officers.
- Supported branch owners with recruitment efforts at job fairs and by interviewing potential loan officers.
- Guided LOs in developing organic marketing strategies in Orlando marketplace, fostering increased brand visibility and client engagement.
- Analyzed loan processing bottlenecks and implemented workflow refinements, resulting in improved turnaround times for clients.
- Fostered cross-functional alignment between sales and operations, enabling smoother client onboarding and steady growth in team cohesion.
- Allocated tasks based on team strengths to enhance overall productivity.
Education
Certificate in Financial Planning -
Park University
12-2026
Master of Business Administration -
Nova Southeastern University
Bachelor of Science -
Nova Southeastern University
Skills
- Regulatory compliance
- Regulatory oversight
- Compliance communication
- Regulatory training
- Risk assessment
- Planning
- Strategy
- Management
- Leadership
- Team building
- Analytical
- Problem solving
Education
- Master of Business Administration-Nova Southeastern University
- Bachelor of Science-Nova Southeastern University
- Certificate in Financial Planning-Park University, 2026
Certification
- Series 6,7,24,63,65 -FINRA/NASAA
- Life and Health-South Carolina Department of Insurance
Timeline
Compliance and Operations Principal
Innovation Partners
10.2025 - Current
Financial Advisor
Corebridge Financial
05.2024 - 09.2025
Financial Solutions Advisor
Merrill Lynch
01.2023 - 05.2024
Financial Services Professional
New York Life/ NYLIFE Securities
07.2022 - 12.2022
Adjunct Professor
Valencia College
10.2021 - 02.2026
Principal Loan Officer/Branch Manager
Motto Mortgage
01.2021 - 06.2022
First Sergeant
US Army Reserves
10.2014 - Current
Certificate in Financial Planning -
Park University
Master of Business Administration -
Nova Southeastern University
Bachelor of Science -
Nova Southeastern University