R. Alexander McCoy
Summary
Highly accomplished risk and compliance professional with extensive expertise in regulatory policies, supervision, and operations within the financial services sector. Demonstrates a proven ability to lead through team development, technology integration, scalability, and project execution across all organizational levels. Proficient in leveraging 3rd party financial services software, including Archer, RegEd, Global Relay, and various clearing platforms. Holds active FINRA principal registration and CFP certification, showcasing a commitment to excellence and industry standards.
Overview
23
23
years of professional experience
1
1
Certification
Work History
Senior Manager, Regional Supervision
TIAA
- Previously responsible for the development of TIAA’s hub supervision program including surveillance and oversight of approximately 2,000 registered associates in various lines of business assigned to the Denver and Dallas hubs including client facing and back office activities.
- Designated as the Firm’s MSRB and Registered Options Principal including oversight of required MSRB filings, EMMA disclosures, and end to end municipal and options activities.
Senior Vice President, Head of Product and Platform Compliance
LPL Financial
01.2020 - Current
- Manage and oversee distinct compliance functions providing second line support to processes including: policies and procedures, regulation change management, enterprise wide compliance training, non-traded product compliance, conflicts of interest and the execution of our mergers and acquisition activities.
- Developed and manage a firm-wide policy on policies program by establishing a technology framework ensuring consistency, oversight, periodic attestations and quarterly reporting.
- Integrated and oversee a new regulation change vendor designed to leverage regulatory rule mapping from policies and procedures providing enhanced notification and disposition of potential regulatory events impacting the firm.
- Manage and contribute to the creation and development of policies and procedures in response to regulatory change for the firm’s sales practices, standards of conduct, regulation best interest (including disclosure activities) and conformance to state and NAIC model enacted changes.
- Support and manage the creation of content and execution of the firm’s continuing education plan including programs created for LPL’s 29,000+ advisors.
- Provide management, oversight and guidance relating to all non-traded products available on the LPL platform including direct coverage on product review committees and periodic risk related reviews.
- Enhanced and manage the firm’s conflicts of interest program to conform to the SEC’s Regulatory Best Interest obligations including the refinement of a conflicts inventory, disclosure review, attestation and oversight program and the implementation of an executive conflicts governance committee.
- Serve as the primary key stakeholder for mergers and acquisition activities for Risk & Compliance providing sign-off on due diligence items and the execution of business integration activities.
- Active participant in LPL’s Mentorship program serving as both a mentor and mentee.
Director, Lead Compliance Officer
TIAA
01.2011 - 01.2020
- Tasked with providing compliance oversight and support for regulatory supervision partners to ensure key controls are implemented, compliance standards are met and proper business oversight is established.
- Managed the registration and licensing program in support of the execution and appointment process for the Services’ broker/dealer encompassing over 4,000 registered and licensed agents.
- Managed the complaint reporting activities including 4530 matters, U-4/U-5 amendments and quarterly filings.
- Managed the development of policies and complementing business procedures including serving as the document owner of the Services’ broker/dealer Compliance Manual.
- Managed the ownership of new law tracking and regulatory developments in order to facilitate applicability reviews and implementation of gap assessments.
- Compliance content owner of firm element training, annual compliance training and tasked with the ownership of applicable new hire compliance training for all registered representatives.
- Program owner of Services’ email surveillance program for the review and disposition of electronic communications in accordance with FINRA 3110 including the establishment of policies and procedures to assist in regulatory and risk mitigation.
Regional Sales Supervisor
Securities America
01.2007 - 01.2011
- Supervised approximately 60 OSJ offices and direct report representatives with responsibilities including pre-trade approval, outside business activities, gifts and non-cash compensation, new account approval, alternative investments, outside brokerage account approval, and required annual compliance meetings.
Compliance Officer
AmSouth Investment Services
01.2004 - 01.2006
- Maintained ongoing supervision of Registered Principals in an effort to uphold all registered branches and employees in compliance with SEC, FINRA, and AmSouth Investment policies and procedures.
Equity Trader
NBC Securities
01.2002 - 01.2004
- Executed trades for individuals, brokers, money managers and performed self-clearing functions including omnibus reconciliation, corrections, dividend payments and general back office activities.
Education
Bachelor of Science - Finance
University of Central Florida
Skills
- Designing compliance frameworks
- Technology Integration
- DOL Fiduciary and Regulation Best Interest
- New Law Tracking and Implementation
- Regulatory Change Management
- 206(4)-7 and 3120 Reporting
- Compliance Risk Assessments
- Sales Practice Supervision
- Books and Records
- Regulatory Inquiries
- New Hire Adjudication
- Branch Inspections
- Business Procedure Implementation
- Trade Review and Approval
- Operations management
- Cross-functional team coordination
- Cross-functional collaboration
Certification
- FINRA Representative Registrations: Series 7, 63, 65
- FINRA Principal Registrations: Series 24, 27, 4, 53, 14
Timeline
Senior Vice President, Head of Product and Platform Compliance
LPL Financial
01.2020 - Current
Director, Lead Compliance Officer
TIAA
01.2011 - 01.2020
Regional Sales Supervisor
Securities America
01.2007 - 01.2011
Compliance Officer
AmSouth Investment Services
01.2004 - 01.2006
Equity Trader
NBC Securities
01.2002 - 01.2004
Senior Manager, Regional Supervision
TIAA
Bachelor of Science - Finance
University of Central Florida
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