Matthew Park
Princeton,NJ
Summary
Proven Compliance Officer with extensive experience at The Investment Center, Inc., excelling in internal audits and enhancing compliance monitoring. Demonstrated expertise in regulations enforcement and risk management, alongside strong analytical skills. Achieved significant improvements in compliance processes, ensuring adherence to FINRA regulations and firm standards.
Overview
10
10
years of professional experience
1
1
Certification
Work History
Compliance Officer
The Investment Center, Inc.
10.2024 - Current
- Assisted with the supervision of our registered representatives in compliance with firm and FINRA regulations.
- Conducted client account reviews, monitoring overconcentration limits, trading patterns, and investment suitability.
- Assisted with review and approval of annuity business, with special attention to rollovers and surrender charges.
- Conducted review and approval of registered representative's Outside Business Activity.
Compliance Examiner
The Investment Center, Inc.
04.2022 - 10.2024
- Conducted internal audits of all firm branches (OSJs, satellite offices, heightened supervision) in-person and virtual.
- Inspected representative's offices, bank statements, e-mails, computer workstations, and client records.
- Analyzed information gathered from investigations and resolved them or reported findings for escalation.
- Ensured registered representatives were compliant with firm and FINRA regulations.
- Conducted review and approval of alternative product purchases (non-traded REITs, non-traded preferred stock, interval funds, etc.) in compliance with firm suitability standards.
- Conducted review and approval of advertising, correspondence, sales literature, and social media for registered representatives.
- Ensured representative's compliance with Reg BI standards in their recommendations and new accounts.
Licensed Sales Assistant
Krause Financial Group, LLP
02.2015 - 04.2022
- Assisted in management of advisor's book of business.
- Assisted in trade input, branch record submittal, and account opening, closing, and ongoing maintenance.
- Was the client relationship specialist: the point of contact for all client needs and concerns.
- Assisted in review of new products via research and meetings with wholesalers.
- Ensured branch compliance with firm regulations, and was the back office liaison.
- Prospected for potential new clients.
- Assisted client's with tax return input and filing.
- Filed federal and state quarterly payroll for clients.
Education
Bachelor of Arts - Economics
Syracuse University
Syracuse, NY05-2013
Skills
- Internal audits
- Regulations enforcement
- Advertising
- Risk management
- Anti-money laundering
- Compliance reviews
- Compliance monitoring
Accomplishments
- October 2023 Employee of the Month (The Investment Center, Inc.)
Certification
- Series 7
- Series 66
- Series 24
Languages
English
Native or Bilingual
Korean
Native or Bilingual
Timeline
Compliance Officer
The Investment Center, Inc.
10.2024 - Current
Compliance Examiner
The Investment Center, Inc.
04.2022 - 10.2024
Licensed Sales Assistant
Krause Financial Group, LLP
02.2015 - 04.2022
Bachelor of Arts - Economics
Syracuse University
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