Bruce Garber Email & Phone Number

New York, New York, Us

New York, New York, Us

Compliance Specialist

St. Louis, Missouri, Us

Assisted Financal Advisors by providing sales and servicing support

Pittsburgh, Pennsylvania, Us

I handled the supervisory duties and responsibilities for 38 Financial Advisors in Florida. These responsibilities included training and development; reviewing and approving trades, client contact, email review as well as branch examinations and handling sales practice customer complaints. I was also responsible for email review, structuring and delivering Compliance training, marketing review & approval, social media review and surveillance report review. Extensive experience contacting clients to discuss/review investment recommendations.

Was responsible for hiring and training Compliance Specialists whose responsibilities included branch examinations, surveillance report review, and review of brokerage account activity, as well as sales practie complaint response. Managed a local staff of Compliance Specialists and a Cashier and a staff of Compliance Specialists located in Irvine, CA. I was personally responsible for conducting special investigations, Form U-4 & Form U-5 amendments resulting from complaints, as well as attending arbitration/mediations as the company representative. Also, drafted written supervisory procedures, created and delivered Annual Compliance Meeting agenda and delivered to reps, and, oversaw the firms' Mystery Shop Program. Had direct expereince drafting responses to sales practice complaints and reviewing/approving staff responses and proposed settlements. Directly responsible for interfacing with SEC/FINRA staff in connection with complaints and special investigations.

In response to the firms' movement toward decentralizattion of responsibilities, I was hired to developed and implement a new position, write a corresponding procedural manual, and train counterparts. Responsibilities included change of investment review/approval, maintaining OSJ books and records requirements, as well as supporting and training advisors and managers.

New York, Ny, Us

Managed a group of 13 employees who facilitated transactions and serviced Chase Bank's retail, small business and middle market and institutional customers. Had responsibilty for approving margin/option accounts and aproving option transactions. Handled and corrected trade problems and representatives' errors.

New York, New York, Us

Worked on the discount desk of Citicorp Investment Services. Responsible for execution of client transactions, providing quotes, and facilitating payment for trades.

Worked in an operational capacity in the Municipal Bond department, within a program geared toward high net worth clients. Coordinated quarterly updates for bond pricing and printing client statements. Direct supervison of 3 administrative personnel.

Bachelors Of Science, Business Administration And Management, General

Associate Of Arts (Aa), Liberal Arts And Sciences/Liberal Studies