Senior Compliance Analyst
Current
Dec 2024 - Present
AeroLeads people directory · profile
Aurelio Lopez Email & Phone Number
Regulatory Reporting, Compliance, Auditing, Brokerage Operations, Data Driven
at
Apex Fintech Solutions
LinkedIn matched
3 data sources
Profile completeness 86%
Current company
Role
Regulatory Reporting, Compliance, Auditing, Brokerage Operations, Data Driven
Location
Richardson, Texas, United States
Who is Aurelio Lopez? Overview
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Quick answer
Aurelio Lopez is listed as Regulatory Reporting, Compliance, Auditing, Brokerage Operations, Data Driven at Apex Fintech Solutions, based in Richardson, Texas, United States. AeroLeads shows a matched LinkedIn profile for Aurelio Lopez.
Aurelio Lopez previously worked as Senior Compliance Analyst at Apex Fintech Solutions and Brokerage Compliance Analyst at Etc Brokerage Services, Llc. Aurelio Lopez holds Bachelor Of Applied Science (B.A.Sc.), Finance, General from Saint John'S University.
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Apex Fintech Solutions
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Profile bio
About Aurelio Lopez
As a seasoned financial services professional, I am dedicated to upholding regulatory integrity and operational excellence within the brokerage industry. With expertise in trade reporting, compliance management, and regulatory filings, I work to ensure firms remain compliant with SEC, FINRA, and other regulatory bodies. Through collaboration across departments and fostering a culture of compliance awareness, I aim to mitigate risks, drive operational efficiency, and support regulatory adherence. My mission is to navigate the complexities of financial regulations while providing a seamless and trustworthy experience for clients and stakeholders.
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6 roles
Aurelio Lopez work experience
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Brokerage Compliance Analyst
Etc Brokerage Services, Llc
- Assist in conducting regular reviews of trading activities, customer accounts, and operational processes to ensure compliance with SEC, FINRA, and other regulatory requirements.
- Conduct research to exams and inquiries received from regulators. Present findings to regulators either thru filings in FINRA Gateway or meeting with regulators.
- Provide training and guidance to employees on compliance policies, regulations, and best practices to foster a culture of compliance awareness throughout the organization.
- Assist in the regular maintenance of compliance policies and written supervisory procedures to mitigate regulatory risks and ensure adherence to industry standards.
- Assist in the preparation and submission of regulatory filings and disclosures, such as Form U4, Rule 4530, and other required reports to regulatory authorities.
- Work closely with other departments, including Legal, Risk Management, Operations, and Trading, to address compliance-related issues and facilitate effective communication and coordination.
Aug 2024 - Nov 2024
Senior Rep., Trade Reporting Analyst
- Analyzed TD Ameritrade’s short settled positions in accordance with Short Interest Rule 4560 and reported short position findings to FINRA in a file on a bimonthly basis, as well as responding to FINRA Verifications.
- Audited Fixed Income trade reports to ensure systems and representatives are generating trades correctly by researching in FINRA TRACE, MSRB, and Bloomberg Terminal.
- Complied promptly and accurately to Electronic Blue Sheet requests by submitting trade information regarding particular securities or accounts during specific date ranges to the SEC and other regulators requesting the.
- Verified and audited Large Option Position Report (LOPR) files that are sent to regulatory agency via OCC to ensure processes happened as intended. Additionally, upload LOPR Reorg files on a daily basis to prevent.
- Verified the information that is being reported to FINRA CAT was received on time, correct any open rejections, and audit for accuracy.
- Managed Market Participation ID Directory (MPID) when DTCC releases changes, to ensure the information TD uses is the same info in the NSCC Directory.
Jan 2021 - Jan 2024
Wealth Management Services Analyst
- Collaborated with internal departments and partners from mutual fund companies to find solutions to issues and inquiries.
- Maintained mutual fund database that reported fund details to ensure they were accurate such as fund minimums, breakpoints, fund fees, corporate actions, and other fund details.
- Reconciled fund shares inaccuracies in both client and proprietary accounts through research and critical thinking.
- Analyzed and processed mutual fund trade correction requests. Required attention to detail when I placed trades in order to mitigate risk to firm.
- Onboarded new funds, filed fund documents to maintain proper records, and worked with security master to add new funds to trading platforms.
- Reviewed trades to make sure they adhere to each mutual fund company’s rules and guidelines.
Jul 2018 - Jan 2021
Asset Clearing Services Rep
- Placed trades for clients that are designated as Affiliates and for restricted securities in Safekeeping; work with different business groups to place trades that need to be placed on different platforms
- Processed Direct Registration System transfer requests for retail and institutional accounts in a precise and timely manner to meet service level expectations
- Helped establish a procedure for processing different types of security certificates sent in for deposit
Sep 2016 - Jul 2018
Financial Representative
- Interacted with customers, via inbound calls and electronic chats, responding to requests for information and assistance with their brokerage accounts to include description of account features, communicating account.
May 2013 - Mar 2016
1 education record
Aurelio Lopez education
FAQ
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Quick answers generated from the profile data available on this page.
What company does Aurelio Lopez work for?
Aurelio Lopez works for Apex Fintech Solutions.
What is Aurelio Lopez's role at Apex Fintech Solutions?
Aurelio Lopez is listed as Regulatory Reporting, Compliance, Auditing, Brokerage Operations, Data Driven at Apex Fintech Solutions.
Where is Aurelio Lopez based?
Aurelio Lopez is based in Richardson, Texas, United States while working with Apex Fintech Solutions.
What companies has Aurelio Lopez worked for?
Aurelio Lopez has worked for Apex Fintech Solutions, Etc Brokerage Services, Llc, Charles Schwab, Td Ameritrade, and Fidelity Investments.
How can I contact Aurelio Lopez?
You can use AeroLeads to view verified contact signals for Aurelio Lopez at Apex Fintech Solutions, including work email, phone, and LinkedIn data when available.
What schools did Aurelio Lopez attend?
Aurelio Lopez holds Bachelor Of Applied Science (B.A.Sc.), Finance, General from Saint John'S University.
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