Brad Crane Email & Phone Number

▪ Charged with driving compliance across the central division which encompasses 43 of the 175 offices located around the world. Primary responsibilities include,− Preparing, scheduling, and conducting inspections in accordance with internal procedures and the applicable industry statutes, more specifically FINRA rule 3110− Facilitating internal investigations based on audit findings− Drafting inspection reports and delegating corrective action to the appropriate parties− Serving… Show more ▪ Charged with driving compliance across the central division which encompasses 43 of the 175 offices located around the world. Primary responsibilities include,− Preparing, scheduling, and conducting inspections in accordance with internal procedures and the applicable industry statutes, more specifically FINRA rule 3110− Facilitating internal investigations based on audit findings− Drafting inspection reports and delegating corrective action to the appropriate parties− Serving as the liaison between the Compliance Department and Field team and ensuring fluid communication− Tracking and assessing all gifts and gratuities received by associated persons to assure compliance with regulatory guidelines− Collaborating with regulators and other law enforcement personnel during routine examinations and special investigatory matters▪ Relied upon to provide feedback regarding compliance questions posed by Field Representatives and to organize training sessions to review current and amended policies and procedures.▪ Conduct workflow and inspection tool assessments and offer recommendations related to improvement opportunities associated with the various compliance forms. ▪ Identified technology that allowed for immediate tracking and mitigation of risks pertaining to Reg BI and Electronic Communications. The software switch proved to be beneficial and offers quick identification of trends and real-time regulatory reporting.▪ Initiate Compliance Manual and SOP reviews which involve taking recommended changes before the department leaders for approval.Accepted recommendations to date include,− Updates to prevent elderly abuse as well as insurance fraud− The closing of five European offices after conducting extensive research which revealed several high-level risks that were poised to negatively impact the organization Show less

▪ Provided First Command’s advisors support through education and training regarding suitability requirements in accordance with the internal Compliance Manual, Written Supervisory Procedures, FINRA, and various state and federal agencies.▪ Monitored and reviewed transactions through FIS Protegent and NetX360 and retained full autonomy to approve and accept business on behalf of First Command within the firm’s guidelines.

▪ Served on a team with other Financial Advisors that drove global compliance as it pertained to various international laws while also addressing issues associated with sales and services of investments abroad.− The team partnered with agencies located throughout Europe, Africa, Asia-Pacific, and the Middle East▪ Coached the local advisors regarding proper use of the new business model designed by the Financial Advisors, Legal Team, and Senior Executive Leadership Team.▪… Show more ▪ Served on a team with other Financial Advisors that drove global compliance as it pertained to various international laws while also addressing issues associated with sales and services of investments abroad.− The team partnered with agencies located throughout Europe, Africa, Asia-Pacific, and the Middle East▪ Coached the local advisors regarding proper use of the new business model designed by the Financial Advisors, Legal Team, and Senior Executive Leadership Team.▪ Established production goals and instituted protocols to maintain performance and service levels.▪ Instituted business continuity strategies which offset headwinds throughout the COVID-19 pandemic. Show less

▪ Executed trades on behalf of clients and the firm, making decisions based on market analysis and client preferences.▪ Utilized statistical models to analyze market data and develop trading strategies.▪ Assessed the risks associated with trading activities to ensure compliance with risk management policies and regulations.

▪ Managed a branch with $415 million base deposits and $350 million outstanding loans while also co-managing two satellite branches. Leadership scope extended to,− Delivering daily leadership and strategic guidance to 30+ employees− Establishing KPIs inclusive of quarterly and annual performance expectations− Leveraging an advanced understanding of several regulatory requirements including the Bank Secrecy Act, Anti-Money Laundering, OFAC, USA Patriot Act, Privacy Act, and Community… Show more ▪ Managed a branch with $415 million base deposits and $350 million outstanding loans while also co-managing two satellite branches. Leadership scope extended to,− Delivering daily leadership and strategic guidance to 30+ employees− Establishing KPIs inclusive of quarterly and annual performance expectations− Leveraging an advanced understanding of several regulatory requirements including the Bank Secrecy Act, Anti-Money Laundering, OFAC, USA Patriot Act, Privacy Act, and Community Reinvestment Act and driving compliance at the branches Show less

Arlington, Texas, United States

▪ Established and maintained strategic partnerships with local business owners and collaborated to identify banking instruments that aligned with individual business needs.▪ Led the branch to a record setting year achieving the first ever President’s Club recognition. ▪ Coached and developed Personal Bankers on all aspects of new customer acquisition, relationship management, and tips for retaining current clients

Arlington, Texas, United States

▪ Provided operational support to tellers and bankers, enhancing daily activities and service delivery to customers.▪ Served as the Interim in the absence of the Branch Manager.▪ Created a financial and prospect profile to identify client leads and developed strategies to expand the book of business.

▪ Managed three branches on the investment platform, coordinating portfolio reviews to evaluate the client’s investments performance toward achieving long-term financial goals.− Total assets under management was (APX) $100 million▪ Trained Series 6 representatives on effective methods for profiling, referring, and securing clients.▪ Featured in Mansfield Mirror News and voted best bank by the community in 2011.