Selena Richardson FLMI
Brandon,MS
Summary
Highly adaptable and driven compliance professional who has achieved success in a variety of roles with increasing levels of responsibility. An effective communicator with strong analytical, management and organizational skills. Assertive and enthusiastic, with extensive knowledge of the insurance and securities industries and a strong work ethic.
Overview
28
28
years of professional experience
Work History
Senior Regional Supervisory Principal
LPL Financial
Brandon , MS
05.2022 - Current
- Remote first-line supervisory responsibility for 150+ registered representatives located in the states of New York, New Jersey, Florida, Missouri, California, Michigan, and Indiana
- Ensures advisors' understanding and compliance with all firm policies and procedures by proactively communicating the firm's policies and procedures
- Identifies and executes training based on the advisors' needs and opportunities
- Acts as the main point of contact for supervision-related questions
- Identifies suspicious patterns in sales and business practices, conducts investigations, and determines appropriate corrective action as needed
- Actively monitors the supervisory systems and assists in the resolution of heightened transaction review issues
- Engages in regular supervisory office visits with assigned advisors to promote company supervisory practices, follows up on audit findings, and proactively addresses potential compliance issues to minimize risk to the advisor and the firm
- Assists with regulatory exams and requests
- Oversees and manages the completion of all firm element and other CE requirements to ensure timely completion
Field Compliance Manager
CUNA Brokerage Services
Brandon, MS
06.2017 - 05.2022
- Remotely supervises the sales activities of 100+ Registered Representatives and Registered Investment Advisors across a 10-state territory in the states of Texas, Oklahoma, Kansas, Missouri, Arkansas, Louisiana, Mississippi, Alabama, Kentucky and Indiana
- Conducts 50+ onsite branch inspections annually to identify and correct deficiencies to include the preparation of reports to communicate deficiencies and the recommended remedial actions to Person-In-Charge
- Approves and monitors outside business activities and personal securities accounts
- Designs, implements and ensures compliance with Heightened Supervision plans for representatives in need of corrective action
- Reviews and approves all paper and electronic correspondence
- Investigates and provides firm response to written complaints
- Educates registered representatives and non-registered personnel on the broker/dealer and RIA "books and records" requirements as well as supervisory procedures
Branch Examiner
Kestra Financial
Austin, TX
05.2016 - 06.2017
- Prepared, scheduled, and conducted inspections of registered branch offices
- Prepared reports to communicate inspection findings, and the recommended remedial actions, to the Person In Charge
- Tracked and monitored the resolution of deficiencies noted during the branch inspections
Agency Supervisory Officer/Business Manager
MassMutual
Ridgeland, MS
09.2000 - 02.2016
- Supervised and monitored the sales activities of 45 Financial Professionals to ensure compliance with all regulatory requirements in the areas of sales practices and suitability
- Reviewed and formally approved the suitability of all Mutual Fund, General Securities, RIA, and variable product applications
- Approved and monitored outside business activities and personal securities accounts
- Conducted 25+ onsite branch inspections annually to identify and correct deficiencies to include the preparation of reports to communicate deficiencies and the recommended remedial actions to Person-In-Charge
- Performed daily email and trade surveillance
- Educated registered representatives and non-registered personnel on the broker/dealer and RIA "books and records" requirements as well as supervisory procedures
- Hired, trained, and developed quality support staff
- Coached and mentored staff members by offering constructive feedback and taking interest in their long-term career growth
- Conducted annual performance appraisals for all branch staff
New Business Manager/Compliance Assistant
MassMutual
Ridgeland, MS
06.1997 - 09.2000
- Managed the New Business workflow to achieve maximum efficiency
- Assisted the Investment Specialist with compliance related matters
- Promoted to Agency Supervisory Officer in 2000
Education
FLMI Degree -
LOMA Institute
Business Courses
Hinds Community College
Skills
- Series 7, 24, 53, 63, 65 licensed
- Supervision of RIA Reps
- Extensive Auditing Experience
- Risk Management
- Excellent Communication Skills
- Complaint handling and resolution
- Operations management
- Consensus Building Techniques
- Complex Problem Solver
- Self-directed
Timeline
Senior Regional Supervisory Principal
LPL Financial
05.2022 - Current
Field Compliance Manager
CUNA Brokerage Services
06.2017 - 05.2022
Branch Examiner
Kestra Financial
05.2016 - 06.2017
Agency Supervisory Officer/Business Manager
MassMutual
09.2000 - 02.2016
New Business Manager/Compliance Assistant
MassMutual
06.1997 - 09.2000
FLMI Degree -
LOMA Institute
Business Courses
Hinds Community College
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