Weston Sommers

• Prepare monthly financial reporting
• Conduct quality control reviews and regulatory document delivery reconciliation
• Assist in preparing weekly customer reserve calculation
• Assists in preparing monthly/quarterly FINRA reporting, including balance sheet, P&L, capital report, etc
• Ensure continuous compliance with all financial regulatory reporting requirements relating to SEA Rule 15c3-1 and 15c3-3;
• Produce certain aspects of the daily and month end Net Capital and Customer reserve computations (SEA Rule 15c3-1 and 15c3-3)
• Manages Account payable team of five
• Participate in the preparation of the monthly Focus reporting package relating to SEA Rule 15c3-1 and 15c3-3;
• Liaison with regulatory examination teams and auditors during examinations and audits for the firms clients.
• Broker-dealer and investment advisor compliance – Responsible for Advisor and BD Compliance, including licensing and registration functions, customer complaint handling, employee trade review, communications oversight, and outside business activity, gifts and entertainment, and political contribution disclosures
• Policies and procedures – Responsible for regularly reviewing, enhancing, and executing on all communications compliance-related policies and procedures, as well as assisting with broader Compliance testing and monitoring
• Collaborates with business, Legal, and Compliance teams, providing specific guidance during all phases of the product development and marketing processes
• Supports the Company’s policy governance program, which includes developing, publishing, and maintaining applicable policies and procedures for the Company and its regulated entities
• Supports the Company’s governance, risk, and compliance (“GRC”) program for monitoring, testing, and assessing regulatory risk
• Enhance and maintain the organizational and record-keeping processes that enable timely and accurate responses to regulatory inquiries and examinations as they arise
• Assist with year-end audit activities, work with auditors to prepare annual tax filings
• Ad-hoc projects as deemed necessary by management

• Completed filings and upheld strict compliance with regulatory agencies and Sarbanes-Oxley Act
• Prepared reconciliation of bank accounts and monthly forecasts for mutual fund clients.
• Forecasted trends and recommended improvements based on financial risk analyses.
• Assisted clients in the timely filing of their financial statement
• Trained new and existing staff members in various financial procedures to prepare for job requirements.
• Maintained beneficial relationships with clients and assisted in fostering new business.

· Strict adherence to GAAP and SEC guidelines.