Facilities Management Compliance

Proactively designing and implementing a compliance strategy to ensure firm oversight of a variety of highly-regulated business activities relating to Wealth Management and Banking - FINRA, SEC/40’s Act, FDIC, OFAC and OCC - with a personal approach to identifying issues and problem solving by acting as a Mentor and Advisor to staff at all levels within a 2500-5000 person enterprise.Marketing Compliance Review and oversight program for Broker/Dealer, Investment Advisor, Trust Companies, Bank, Foreign Exchange, and Insurance Businesses. Private Placement Sales Supervision & Risk Management including evaluations, documentation review, and supervision of Limited Partnership offeringsAML Officer - including conducing Transaction Reviews, 314(a) reviews, acting as 314(b) contact, and SAR Filings, including notifications to Law Enforcement and SEC. Branch Office Reviews for Licensed Bankers to ensure compliance with the firm’s policies, and conduct informal 1-1 and small group trainings.FINRA and SEC Licensing and Registration Management and Oversight - including Form BD and ADV updates, 1017 Letters, NDAs, Fee-Share Agreements. Written Supervisory Procedure and Code of Ethics maintenance and updates Testing and Monitoring Programs - including NASD Rule 3130/FINRA Rule 3012 Annual CEO Certifications, and Annual SEC Rule 206(4)-7Continuing Education Program and Training ManagementPoint person for Legal Subpoenas, Internal Audit and Regulatory Examination requests E-Mail, Social Media and Employee Personal Account Supervisory Oversight.New Product Committee and Board of Directors Meeting Secretary.Business Continuity Planning Special Projects - Technology and Vendor Management and New System RolloutsDepartment Management - including interviewing, hiring, and mentoring staff in support of Compliance, Operations, Trading and Sales.