Benjamin M. Treadwell Email & Phone Number

San Diego, Ca, Us

▪Administer compliance monitoring program established for employee trading, disclosure, preclearance, certification, and attestation (ComplySci). Risk mitigation areas include personal trading, securities accounts, outside business activities, fiduciary relationships, private securities transactions, and political contributions.- Liaise with Compliance Senior Leadership and program vendor to review needs and implement enhancements.- Assist in the development of the Compliance Program… Show more ▪Administer compliance monitoring program established for employee trading, disclosure, preclearance, certification, and attestation (ComplySci). Risk mitigation areas include personal trading, securities accounts, outside business activities, fiduciary relationships, private securities transactions, and political contributions.- Liaise with Compliance Senior Leadership and program vendor to review needs and implement enhancements.- Assist in the development of the Compliance Program including policy and technology improvements.- Implement updates to policies, procedures, and FAQs, as needed.- Delegate to staff daily and periodic tasks items and provide oversight/monitoring. ▪Develop and conduct Compliance Focus Reviews of controls designed to address risk and adhere to regulatory rule requirements/expectations. - Perform audit testing, deliver written findings to stakeholders, and following up with required action plans as needed. - Consider scope relating to specific internal and external operating environment for Firm's Wealth Management business.- Provide Compliance advice and guidance as subject matter expert citing regulatory rules and policies. - Examples include DOL PTE 2020-02, FINRA 2165, FINRA 4512, FINRA 4111. ▪Manage Regulatory Change Management (RCM) program identifying and implementing needed key risk enhancements. - Capture, organize, and maintain all proposed rules, requirements, and changes for applicable Federal/State regulatory items impacting the Firm.- Assign responsibility, monitor updates, administer monthly meetings to review and drive progress with Compliance Stakeholders. - Organize Regulatory Obligation Risk across Wealth Management, Equity Capital Markets, Fixed Income Capital Markets, Operations, and AML.- Benchmark program's maturity level versus peers and scale program from basic to increased maturity. Show less

Greater San Diego Area

Greater San Diego Area

Greater San Diego Area

Greater San Diego Area

Greater San Diego Area

Greater San Diego Area

Greater San Diego Area

Greater San Diego Area

Ba

Education record