MATTHEW SZIMANSKI
Timonium,MD
Summary
Knowledgeable Senior Compliance Analyst skilled in developing and implementing tracking and training programs to promote FINRA, SEC, and governmental compliance. Highly ethical and focused team player with productive, diligent approach. Bringing 16 years of experience in the industry and 8 years specifically in compliance.
Overview
16
16
years of professional experience
1
1
Certification
Work History
Senior Compliance Analyst – Regulatory Reporting
T. Rowe Price
07.2016 - Current
- Monitors firm ownership of foreign securities, submitting disclosures as necessary.
- Reviews firm-wide trading activity for compliance purposes.
- Manages firm restricted list to prevent trading of companies for which we have non-public information.
- Owns the FINRA U4/U5 submission process.
- Oversees Outside Business Activity compliance.
- Develops and implements comprehensive policies and procedures.
- Provides expert guidance on complex compliance matters, assisting in resolution of high-stakes issues.
- Stays current with latest changes to applicable regulatory standards and company procedures.
Supervisor
T. Rowe Price
02.2012 - 07.2016
- Oversaw teams of various sizes in the retirement call center (2012-2015) and processing group (2015-2016).
- Developed and managed the real-time web chat program for retirement clients.
- Managed FINRA licensing across multiple locations nationwide, completely overhauling the firm's licensing process.
- Applied strong leadership talents and problem-solving skills to maintain team efficiency and organize workflows.
Senior Specialist – Correspondence Group
T. Rowe Price
11.2010 - 02.2012
- Oversaw team of 10-15 associates.
- Ensured that all written complaints were logged in accordance with FINRA and SEC guidelines.
- Reviewed and approved client correspondence as a FINRA principal.
- Developed comprehensive training programs for new hires, resulting in faster onboarding and better overall performance.
- Supported department leadership in implementing new policies, procedures and controls.
Associate – Correspondence Group
T. Rowe Price
10.2008 - 11.2010
- Reviewed and responded to communications from clients, regularly exceeding department productivity and accuracy goals.
- Identified and responded to written customer complaints.
Education
Bachelor of Arts in English -
Washington College
Chestertown, MD05.2008
Skills
- Regulatory Expertise
- Compliance Monitoring
- Legal Research
- Training delivery
- Documentation skills
- Risk Management
- Policy analysis
- Internal Controls
- Documentation Review
- Reporting skills
Certification
- FINRA Series 7 - General Securities License
- FINRA Series 63 - Uniform Securities Agent State Law License
- FINRA Series 24 - General Securities Principal
References
References available upon request.
Timeline
Senior Compliance Analyst – Regulatory Reporting
T. Rowe Price
07.2016 - Current
Supervisor
T. Rowe Price
02.2012 - 07.2016
Senior Specialist – Correspondence Group
T. Rowe Price
11.2010 - 02.2012
Associate – Correspondence Group
T. Rowe Price
10.2008 - 11.2010
Bachelor of Arts in English -
Washington College
- FINRA Series 7 - General Securities License
- FINRA Series 63 - Uniform Securities Agent State Law License
- FINRA Series 24 - General Securities Principal
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