Christian Ginolfi Email & Phone Number

Boston, MA, US

Develop and implement compliance policies and procedures in accordance with SEC regulations. Monitor and ensure adherence to securities laws, rules, and regulations. Conduct regular compliance audits and risk assessments. Provide guidance and training to employees on compliance matters. Maintain and update compliance manuals and documentation. Respond to.

Oversee and supervise the Surveillance Unit, Branch Exam Team, Customer Complaints and the Internal Controls team. Provide clear goals for team members, hold team members accountable for their job responsibilities and provide training and guidance to the team as necessary Fill in for CCO as necessary in executive committee meetings as well as all other.

Springfield, Massachusetts, US

Consult and advise Fortune 100 company in all aspects of Registered Investment Advisory compliance. Review and update the firm’s compliance policies and procedures in response to new rules andregulations, regulatory findings and based on internal compliance reviews and testing.Conduct internal reviews consistent with the mandates of SEC Rule 206(4)-7 and.

Chief Compliance Officer for Registered Investment Advisor with $2B under management. Create and implement a program of Compliance that adheres to all regulatory rules and mandates.Manage a staff of compliance, licensing and supervision employees.Conduct FINRA 3130 and SEC 206-(4)-7 reviews to assure adherence with applicable laws, rulesand regulations and.

Establish and implement an AML compliance program that adheres to FINRA, SEC and BSAregulations.Oversee annual testing and work with staff to implement enhancements to the program as needed.Supervise and train a team of employees in both compliance and operations who act as thegatekeepers of the Firm’s AML program.

Managed a staff of 20 employees comprised of compliance analysts, registration and licensing personnel and home office OSJ managers. Developed and oversaw the Firm’s supervision and examination program and established the Firm’s audit schedules based on a company-wide risk assessment. Managed the day-to-day activities of the compliance program.Drafted.

Responsible for supervising 100 financial advisors located throughout the country.Conducted on-site field inspections of branch offices in an effort to correct deficiencies and provide education in preparation for future regulatory inspections. Performed daily reviews of emails, trade blotters, correspondence and check logs, along with general business.

Responsible for the supervisory review of and exception reporting for 400 advisors.Reviewed daily reports, exceptions and alerts.Worked with financial advisors to resolve anomalies to satisfaction. Conducted on-site field inspections.Identified potential red flags and developed recommendations for corrective action.

Responsible for overseeing the Firm’s licensing and registration program, including on-boarding new advisors, state registrations, opening exam windows, insurance licensing and appointments, completion of regulatory CE as well as renewing advisors registration with the Firm on an annual basis. Maintained and filed Form U4 and form U5 filings for the.

Boston, MA, US