Albert A. Email & Phone Number

Omaha, Nebraska, United States

Most recently, I serve as the advertising subject matter expert for the new SEC Marketing Rule. I am also part of a cross functional team in charge of identifying key changes with the rule and how we can implement new opportunities for our advisors. I am responsible for updates to our broker/dealer and registered investment advisor compliance manuals in accordance with the new rule and our firm’s adaptation to the rule. I provide regulatory advertising review of marketing pieces created either by our licensed representatives or our in-house marketing team. I proactively communicate with necessary stakeholders and tactfully provide constructive feedback to ensure we meet FINRA and SEC regulatory advertising compliance while simultaneously furthering our competitive marketing efforts.Mutual of Omaha markets a Group Variable Annuity product which is distributed by the broker/dealer subsidiary, Mutual of Omaha Investor Services. I perform review of the material and provide guidance on advertising the group variable annuity product.

Shawnee Mission, Kansas

I provide review for home office and product specific advertising materials. This includes mutual fund performance and registered investment company ranking pieces for over 50 open ended mutual funds and 529 plan portfolios. Regularly review mutual fund fact sheets, quarterly commentaries, and portfolio manager presentations for both institutional and retail channels. Expertise in SEC and FINRA mutual fund performance reporting requirements, such as SEC Rule 482, FINRA Rule 2210, composite performance requirements, SEC No Action Letters specific to fund advertising, FINRA Rule 2212, and updated MSRB G-21 rules regarding 529 plans. I work with our marketing team to effectively promote Ivy Funds mutual funds and Waddell & Reed Advisor Funds materials to ensure compliance with evolving regulations.

San Francisco Bay Area

In this role I conducted advertising review for the Wealth Management Group (WMG) and simultaneously fulfilled required regulatory principal review of advertising material for the broker/dealer, BancWest Investment Services (BWIS). The Wealth Management Group includes Banking Services, Brokerage Services, Investment Management, Trust Services, and Estate Administration. I reviewed all client facing pieces to ensure the WMG is compliant with all relevant regulatory requirements. Ensured compliance with advertising laws, regulations, regulatory guidance, and self-regulatory organization (SRO) rules from applicable regulatory bodies and government agencies. Such laws, regulations, and governmental organizations include: FINRA rule 2210 Communications with the Public, SEC Rule 482 Registered Investment Company Performance Reporting, SEC 206(4)-1 Investment Advisor Advertising, MSRB G-21 Municipal Securities Advertising, FINRA 2220 Options Communications, Regulation DD of the Truth in Savings Act, and Regulation Z of the Truth in Lending Act, Office of the Comptroller of the Currency, and the FDIC. Conducted due diligence review and approval/denial for professional designations across the broker/dealer and WMG footprint. This vetting consisted of obtaining course materials, judging ethical intent, and determining overall merit to ensure they meet stringent FINRA guidelines and are based upon the principles of fair dealing and good faith.

Bank Of The West

Helped mitigate risk to the firm through the supervision of sales transactions of field representatives and OSJ’s. Communicated regularly with representatives regarding compliance regulations and served as a subject matter expert on compliance questions and issues.

La Vista, Nebraska

As this role necessitated communicating directly with the field, I needed to identify, comment, and provide alternatives to advisor communications allowing these representatives to market their services while maintaining regulatory compliance. Such role required “real world” interpretation and application of FINRA rule 2210 (Client Communications) and SEC rule 206(4)-1 (Investment Advisor Communications).As a senior analyst, I ran a team of four junior advertising review analysts handling principal advertising review to some of the top revenue producers at the brokerage. I placed emphasis on proactively communicating with our independent advisors regarding advertising of their business model to anticipate future questions and potential issues as they grew their book of business. Leading a team of analyst required insightful leadership and guidance to effectively communicate sometimes difficult to understand compliance requirements.

Bachelors

Education record