Ashley Zeiher Email & Phone Number

Milwaukee, WI, US

Milwaukee, Wisconsin, United States

Primary Responsibilities:*Accurately analyzes marketing communications for compliance with regulatory and firm requirements *Serves as primary point of contact with clients for marketing communications compliance review and principal approval*Evaluates compliance policy effectiveness and updates procedures and manuals as needed *Trains new associates on.

On 3/31/20, Foreside Financial Group acquired Quasar Distributors from U.S. Bank, and all Quasar employees became Foreside employees.Primary Responsibilities:*Using independent judgement and discretion, reviewed and provided principal approval for FINRA-related regulatory compliance of fund clients’ marketing materials for both registered and unregistered.

Greater Milwaukee Area

Primary Responsibilities:*Ensured assigned clients' communications and processes were in compliance with applicable regulations by completing reviews daily to provide principal approval and file required materials with FINRA*Analyzed new and pending laws and regulations which directly affected company practices and worked with affected areas to ensure.

Milwaukee, WI

Primary Responsibilities:*Liaison between Marketing, Legal/Compliance, Operations, and Investment Management to manage procedures for all marketing collateral *Acted as key resource within Marketing team for FINRA and SEC regulations related to communications with the public by creating reference guides, communicating updates to team members, and.

Brookfield, WI

Primary Responsibilities:*Progressively responsible administrative support for several Financial Advisors which included calendar management, coordinating supplemental materials for internal and external meetings, and creating marketing presentations*Supported client, prospective client, and referral communications with a high degree of confidentiality and.