Nakia Martin
Wyncote,Pa
Summary
Solutions-focused securities compliance professional with over 24 years of experience in navigating the complex regulatory landscape of the financial services industry. A proven leader with ensuring ethical and compliant sales practices along with developing and delivering compliance training, my proactive supervisory approach includes proficiency with interpreting and enforcing evolving regulatory requirements, conducting thorough risk assessments as well as collaborating with cross-functional teams to design and implement effective supervision strategies.
Overview
25
25
years of professional experience
Work History
Senior Field Risk Manager
Thrivent Financial
07.2021 - Current
- Leading the supervisory oversight and risk management initiatives for financial professionals in the Northeast region
- Responsible for the regulatory health of the region by offering leadership and advisory support on regulatory and risk matters
- Spearheading the development and implementation of educational content for delivery to the region and collaborating with senior management and Compliance/Legal teams to address internal investigations and respond to regulatory inquiries
- Partnering with the Recruiting team as well as hiring managers with vetting and addressing specific regulatory and risk-related concerns with the recruitment of financial professionals
- Successfully revamped existing department SOPs, resulting in a 17% improvement in workflow efficiency.
Regional Supervisory Principal
LPL Financial
11.2017 - 07.2021
- Supervisory oversight of designated advisors in the Mid-Atlantic region
- Delivered education, guidance and assistance in navigating their compliance responsibilities
- Served as the primary contact for the region, actively contributing to the development and maintenance of compliant business partnerships with the firm by offering necessary assistance and support
- Co-leader of Think Tank Committee; process improvements within Home Office Supervision
- Involved with various ongoing department projects such as Quarterly RSP User Guide Updates and Email Surveillance Review Working Team.
Regional Director
Cambridge Investment Research
03.2015 - 03.2017
- Supervisory oversight and relationship management for advisors throughout the Mid-Atlantic and Midwest regions
- Streamlined the resolution of escalated issues and played a key role in developing and delivering training programs for advisors and OSJs within the region
- Collaborated with Business Development to refine vetting processes and address specific regulatory and risk-related concerns with the recruitment of advisors
- Supervisory outreach and education resulted in a 24% reduction in branch exam findings for the regions
- Partnered with Compliance for ongoing project of quarterly review of written supervisory procedures updates.
Compliance Consultant (securities consulting firm)
02.2013 - 02.2015
- Assisted clients across a spectrum of size ranging from boutique to mid-size broker-dealers and RIAs, with diverse compliance activities
- These activities included preparing for regulatory audits, providing support for forensic compliance testing, conducting email and trade surveillance as well as reviewing/approving advertising and sales literature
- Developed and implemented standardized procedures for branch exams, resulting in increased efficiency
- Led the revision of written supervisory procedures, resulting in a more streamlined and efficient workflow for the client.
Designated Supervisory Principal
Allianz Life Insurance Company
08.2011 - 12.2012
- Supervised registered reps in the Northeast region by performing various tasks such as email monitoring, trade surveillance review, suitability review of transactions and assisted with the delivery of registered rep new hire training
- Reduced the recruit annual turnover rate by assisting with the development and implementation of new registered rep on-boarding and training process.
Regional Supervision Principal
Securities America
11.2010 - 07.2011
- Supervised advisors in the New York region by performing various supervisory tasks such as email monitoring, trade and transaction surveillance review as well as conducted branch office inspections and annual supervisory reviews.
Field Compliance Supervisor
Ameriprise Financial
07.2007 - 09.2008
- Supervised three branch offices of financial advisors within the Philadelphia market with duties that included performing email monitoring and trade surveillance review, suitability transaction review, correspondence reviews and conducted new advisor training.
Trading and Operations Specialist
SEI Investments
02.2006 - 07.2007
- Processed mutual funds, ETF, and equity trades for institutional clients
- Resolved escalated trading errors and settlement issues
- Reconciled various trading G/L accounts.
Securities Operations Supervisor
Fiserv Securities
07.2002 - 12.2005
- Provided guidance and support to the equity and fixed income trading settlement teams that consisted of a staff of twenty
- Reviewed and approved monthly trade settlement accounting activity
- Resolved escalated trade settlement issues and errors
- Coordinated and assisted with the development as well as conducted new hire training.
OSJ Supervisory Principal
Penn Mutual Life Insurance
07.1999 - 06.2002
- Supervised financial professionals within the Mid-Atlantic region with duties that included performing email monitoring, trade surveillance, new business suitability review and correspondence reviews
- Conducted branch office inspections and annual supervisory reviews.
Education
MBA: General Management -
Keller Graduate School of Management
Fort Washington, PA06.2008
Skills
- OSJ Supervision
- Internal Investigations and Audits
- Project Management
- Series 7, 9, 10, 24, 63 and 65
- SEC and FINRA Regulations
- Training Development & Delivery
- Written Supervisory Procedures
- Cross-Functional Collaboration
Timeline
Senior Field Risk Manager
Thrivent Financial
07.2021 - Current
Regional Supervisory Principal
LPL Financial
11.2017 - 07.2021
Regional Director
Cambridge Investment Research
03.2015 - 03.2017
Compliance Consultant (securities consulting firm)
02.2013 - 02.2015
Designated Supervisory Principal
Allianz Life Insurance Company
08.2011 - 12.2012
Regional Supervision Principal
Securities America
11.2010 - 07.2011
Field Compliance Supervisor
Ameriprise Financial
07.2007 - 09.2008
Trading and Operations Specialist
SEI Investments
02.2006 - 07.2007
Securities Operations Supervisor
Fiserv Securities
07.2002 - 12.2005
OSJ Supervisory Principal
Penn Mutual Life Insurance
07.1999 - 06.2002
MBA: General Management -
Keller Graduate School of Management
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