Charles Burns Email & Phone Number

Newark, Nj

In my role, I lead and manage a team of Compliance Analysts and Associates, ensuring alignment with the firm's policies on personal securities trading, gifts and entertainment, and conflicts of interest. I assessed associates' skill levels, identified areas for improvement, and designed targeted training programs to address deficiencies, thereby enhancing overall development and proficiency. I oversaw the translation and coding of compliance rules and investment guidelines into the system, conducted forensic testing, analysis, resolution, and documentation of trade errors, and monitored the activities of registered representatives to ensure adherence to Broker-Dealer requirements and company standards. I collaborated with regulators, auditors, and business unit management to facilitate regulatory exams, inquiries, and audits, developed, implemented, and maintained comprehensive compliance policies and procedures, and supervised the administration of regulatory filings, including Form ADV, Form PF, FINRA-related filings, and client certifications. Additionally, I provided support to global associates across the North American, European, and Asia-Pacific regions.

New York, Ny, Us

As the Director of Global Regulatory Relations, I provided centralized oversight of the firm's supervisory activities and related developments globally, with a focus on regulatory reviews, examinations, and continuous monitoring activities. I established and maintained open, cooperative, and constructive relationships with the firm's regulators, ensuring that the Board, the Enterprise Regulatory Oversight Committee, Senior Management, and relevant stakeholders were kept informed of regulatory relationship matters within the Enterprise Risk Management framework. I led the Global Regulatory Relations Group's operational framework across the UK, Asia, Japan, and USA regional teams, managing the status of exam findings and reporting. Additionally, I supported the execution of regulatory response and remediation processes, including remediation project tracking and reporting.

Newark, New Jersey, Us

As a Senior Compliance Analyst at Prudential, I monitored portfolio investment guidelines, researching potential trade violations to ensure compliance. I ensured that portfolio trades complied with regulatory and contractual requirements and served as the liaison for resolving legal and regulatory interpretation issues within the asset management business. I screened the personal trading, emails, and social media of employees for Code of Ethics violations. Additionally, I reviewed marketing advertisements and literature to verify their alignment with licensing requirements in applicable US and non-US jurisdictions.I assisted with regulatory filings, including Form ADV, South Korean Business Report, and NFA Filings, and managed document production for regulatory exams, inquiries, and audits. I created new procedures and maintained existing Standard Operating Procedures, executed in-unit test plans for various business functions, and led the integration of Axonify, a web-based training platform. This involved collaborating with Legal and Senior Management to revitalize compliance training, resulting in process improvements and maximized employee training opportunities. I also assisted with developing and implementing compliance-related training and enterprise-wide strategic initiatives, serving as the primary point of contact for the Training Program. In addition, I evaluated associates skill levels, focused training plans on deficiencies and reinforced associate's development and training.

New York, Ny, Us

As a Senior Margins Fraud Analyst, I audited 250 accounts weekly to identify and address risk issues related to corporate actions and mutual fund compliance. I assisted trade support with daily account reconciliation for trading, sundry, and firm house accounts, ensuring compliance with Federal Reserve Board (Regulation-T), NYSE, Corporate Actions, AML regulations, and internal monetary policies by screening daily activities of cash and margin accounts. Leading Project Magellan, I utilized Complexity Value Stream Mapping to enhance quality and productivity while reducing market risk and exposure to MetLife by assessing and redesigning workflow. I achieved a 98% daily processing workflow completion rate. I also assisted in the recruitment, onboarding, and development of new employees and managed staff in accordance with program specific workflow.Additionally, I led Project Eldorado, a transformational initiative that converted the MetLife clearing platform from Pershing to National Financial Services. This project simplified process lead-time, increased capacity, and optimized resource utilization, completing the project in 2 years, outperforming the projected 3-year timeline. For my efforts, I was awarded the Star Employee Award for outstanding commitment and service and received the Project Eldorado Plaque for consultation and assistance.

New York, Ny, Us

In my role as a Fraud Analyst, I monitored account activity to ensure compliance with AML regulations and US Patriot Act. I drafted and reviewed SARs. I verified and processed check and ACH disbursements on stolen, lost, blocked, and closed accounts. I reviewed wire transfers and checked writers for BusinessScape and Active Assets Accounts. I also worked on Project BusinessScape, where I streamlined the check signature verification process from Active Asset Accounts to BusinessScape, producing a more efficient analysis and approval process for branches and clients. I reduced unnecessary process complexity through Value-Add Analysis.

New York, Ny, Us

In my role as a Retirement Plans Processor, I applied contributions to all retirement and non-retirement accounts according to clients’ instructions. I completed requests for fund exchanges and redemptions. I conducted Initiated Transfer of Assets (TOA) for external financial institutions. I also addressed incoming and outgoing wire transfer on accounts. I reviewed loan requests, repayments, RMDs and other IRA-specific calculations on behalf of clients. I itemized and consolidated house accounts (Check, ACH and Direct Deposit accounts). I developed and executed plans for servicing new products as introduced or acquired, including training staff members, achieving satisfactory ratings on all annual internal and external audits. I participated in the establishment of policies pertaining to design, administration and service of all Broker Dealer product offerings, resulting in system improvements that allowed department to continue exceeding established deadlines and workflow process.