MATTHEW SZIMANSKI
Timonium,MD
Summary
Detail-oriented Compliance Analyst with knowledge of both US and overseas regulatory requirements. Firm understanding of FINRA rules and regulations and proficient in ensuring company compliance while looking to improve processes and minimize risk. Bringing 15+ years of experience in the financial industry.
Overview
15
15
years of professional experience
3
3
Certifications
Work History
Senior Compliance Analyst – Regulatory Reporting
T. Rowe Price
07.2016 - Current
- Monitors firm ownership of foreign securities to ensure that any disclosure requirements are met in a timely fashion.
- Reviews global takeover panels and submits any necessary ownership notifications.
- Oversees firm-wide trading activity of equities and debt securities. Analyzes and approves trades that may take firm ownership beyond allowable levels.
- Manages the firm restricted list to prevent trading of companies for which we have non-public information.
- Registers new representatives with FINRA by assisting with the Form U4 and running background checks.
- Processes the Form U5 terminations of all persons associated with the Broker/Dealer when they leave the firm.
- Provides training to associates on FINRA disclosure requirements
- Reviews outside business activities for all firm associates to ensure compliance with the company’s Code of Ethics and to determine if they require FINRA disclosure.
- Enhances regulatory compliance by developing and implementing comprehensive policies and procedures.
- Provides expert guidance on complex compliance matters, assisting in the resolution of high-stakes issues.
Supervisor – multiple groups
T. Rowe Price
02.2012 - 07.2016
- Directly oversaw teams of various sizes (9-15 associates) in both the retirement call center (February 2012 – August 2015) and the back-end processing group (August 2015 – July 2016).
- Managed the real-time web chat program for retirement clients. Reviewed chat samples to confirm compliance with regulatory guidelines.
- Provided coaching to all associates to ensure they met department goals. Provided corrective action as necessary.
- Oversaw all FINRA licensing in the department across multiple locations nationwide.
- Increased team productivity by implementing efficient workflows and setting clear expectations for staff members.
- Streamlined operations for increased efficiency through regular process reviews and implementing necessary changes.
Senior Specialist – Special Correspondence Group
T. Rowe Price
11.2010 - 02.2012
- Oversaw a team of 10-15 associates under the direction of a supervisor in the correspondence group.
- Ensured that all written complaints were logged in accordance with FINRA and SEC guidelines.
- Reviewed and approved client correspondence in the role of a FINRA principal.
- Developed comprehensive training programs for new hires, resulting in faster onboarding and better overall performance.
- Wrote letters in response to client correspondence directed to officers of the firm.
Associate – Special Correspondence Group
T. Rowe Price
10.2008 - 11.2010
- Reviewed and responded to electronic and physical communications from retail and retirement clients
- Identified and responded to written customer complaints.
Education
Bachelor of Arts in English -
Washington College
Chestertown, MD05.2008
Skills
- Compliance Monitoring
- Regulatory expertise
- Risk Management
- FINRA licensing oversight
- Compliance Training
- Activity monitoring
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 – multiple groups
T. Rowe Price
02.2012 - 07.2016
Senior Specialist – Special Correspondence Group
T. Rowe Price
11.2010 - 02.2012
Associate – Special Correspondence Group
T. Rowe Price
10.2008 - 11.2010
Bachelor of Arts in English -
Washington College