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 certain regulatory rules and internal compliance procedures*Contributes to the development and delivery of registered representative's initial training and annual compliance meeting*Performs monitoring activities including email surveillance, conducts registered branch examinations, writes inspection reports, and maintains appropriate compliance records*Collaborates with internal and external partners to ensure client needs are met

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 products*Provided consulting feedback for advisory clients’ marketing material as it related to the Investment Advisor Act and SEC precedent.*Continually monitored compliance landscape while staying current on applicable regulatory rules and internal standards, proactively integrating revisions, advising appropriate parties, and ensuring materials conformed*Daily interactions with clients, regulatory contacts, and staff concerning advertising review matters, providing advice and guidance to identify and resolve issues*Assisted with client onboarding and acted as point-of-contact resource for process and procedure related questions

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 satisfactory application*Provided guidance regarding advertising regulation as primary point of contact for assigned clients and performed periodic reviews to assess levels of ongoing regulatory compliance*Participated in, and maintained compliance with, the design and development of policies, procedures, processes and training programs including occasional responsibility for generating continuing education content*Managed quarterly and opportunistic compliance outreach communications including email distribution, webinar hosting, feedback collection, and archiving final replay materials*Cultivated relationships with counterparts representing the regulatory bodies

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 implementing changes*Coordinated assigned marketing collateral from design, verification of content and support documentation, disclosure/review requirements, to publishing approved materials using a variety distribution vehicles*Developed and maintained comprehensive project schedules to meet content, distribution, and regulatory objectives: reconciled regulatory requirements with process efficiencies*Production oversight in partnership with the Director of Marketing to ensure timelines were met*Continually sought to improve and streamline internal procedures by leveraging software and workflow best practices

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 decorum in fast-paced office environment with a dedication to customer service*Assisted in the final preparation and filing of client tax returns for a variety of entities with complex wealth and investment profiles to meet applicable government deadlines*Coordinated internal and external training for practice staff, implemented consistent record keeping of continuing education credits, and successfully ensured annual fulfillment of professional designation requirements*Served as back-up Investment Services Coordinator with responsibilities that included completion of contractual documents, accurate retention of client statements, and reconciliation of quarterly directed brokerage trading