Cheryl Doyle Email & Phone Number

New Orleans, Louisiana, United States

Implements compliance programs to prevent illegal, unethical, or improper business practices. Develops ability to constructively challenge conclusions/status quo.Supports key business initiatives by gathering and analyzing data to identify compliance risks. May assist in suggesting resolutions. As necessary, escalates identified risks to senior team members. Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives.Assesses activity for existing and emerging risks. May evaluate the materiality of the risks identified. Researches current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment.Coordinates the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Executes on the Compliance program objectives for assigned area, products/services, and applicable regulations. May communicate and socialize compliance program objectives to business partners. Under supervision, challenges analyses and formulates recommendations.Prepares compliance reports. Identifies issues illustrated by the reports, escalates through proper governance channels as needed. Assists, as appropriate, in updating or implementing new/enhanced reports in order to ensure timely and effective compliance with regulatory requirements.

Greater New Orleans Area

Responsible for implementing migration to RegEd Xchange system for tracking and maintaining over 350 licensed representatives. Coordinated licensing and registration for HIS and its associates in the company’s southern region for AL, FL, LA, MS & TX. • Oversee the submitting/tracking disclosure information to FINRA for both current and terminated representatives. Completed annual broker/dealer registration renewals and payments. • Coordinated the delivery and receipt of examination study materials between vendor(s) and the registered representative candidates. • Tracked and maintained licensed representative insurance licenses in various states from origination and renewal. Maintained all required files and records of the broker/dealer registration department.• Direct contact for NIGOs with all licensing and appointment for reps submitting business to prospective vendors.• Manage the Compliance computer drive, all compliance reporting and tracking material

Responsible for implementing and maintaining over 200 Licensed Bank Associates (LBAs) from initial licensing to being released to sell. Coordinated licensing and registration for Capital One Investment Services, LLC and its associates in the company's southern region. Responsible for submitting/tracking disclosure information to FINRA for both current and terminated representatives. Completed annual broker/dealer registration renewals and payments. Procured fingerprint cards, SIPC brochures, MSRB booklets, SIPC signs for branch set-up and department supplies. Obtain background reports and investigations, verified previous employment, and reviewed U-4s for completeness and accuracy for potential representative candidates before submission. Coordinated the delivery and receipt of examination study materials between vendor(s) and the registered representative candidates. Tracked continuing education (for both firm element and regulatory) obligation and fulfillment for each registered representative which included notifications and follow-up. Initiated and tracked appointment paperwork for each registered representative. Inputted and maintained registration information in EAI commission system for licensed representatives. Coordinated and submitted contracting paperwork to prospective insurance companies for execution. Tracked and maintained licensed representative insurance licenses in various states from origination and renewal. Maintained all required files and records of the broker/dealer registration department.

Coordinated licensing and registration for Pan-American Financial Advisers and its associates. Responsible for submitting/tracking disclosure information to FINRA for current and terminated reps. Completed annual broker/dealer registration renewals and payments. Procured fingerprint cards, continuing education booklets and other required documents for potential and current registered representatives. Obtained inspection reports, verified previous employment, and reviewed submitted U-4s for completeness and accuracy for potential representative candidates. Coordinated the delivery and receipt of examination study materials between vendor(s) and the registered representative candidates. Tracked continuing education (for both firm element and regulatory) obligation and fulfillment for each registered representative, which included notifications and follow-up. Initiated and tracked appointment paperwork for each registered representative. Coordinated and submitted contracting paperwork to prospective insurance companies for execution. Maintained PAFA broker/dealer agreement files. Tracked PAFA and licensed officer state insurance licenses in 45 states (initial and renewals). Maintained all required files and records of the broker/dealer registration department.

Responsible for account payable for over 100 department bills, corresponding spreadsheets, reports, approvals, and for procurement of general facility and office supplies. Provided Vice President of Development with monthly budget reports from Access database. Responsible for scheduled repair and cleaning of all office/vessel equipment. Compiled information for postage allocations, vessel cellular phone usage, Distribution's monthly activity reports, and AHC inventory reports. Ordered and maintained janitorial, office, electronic, maintenance, distribution, and phone supply. Responsible for delivery, scheduling, and verification of delivery of crew-mail to vessels. Ordered MCI long distance calling cards, issued Watercom, Satellite, Cellular ID's and maintained updated listings. Audited biweekly time sheets for Distribution and Facilities personnel. Typed key projects listing for Distribution, Data Entry and issued updates of Business Recovery manual. Responsible for coordination of offsite record storage. Coordinated locksmith work, pest control service, and annual fire extinguisher inspection. Assisted Facilities Director and Vice President of Development as needed on special assignments.

Managed word processing support for the Georgia Trading Area department. Prepared numerous large mail-outs which resulted in revenue. Assisted PC Coordinator in the sale and reconditioning of PCs for employee sale. Implemented several procedures resulting in increased productivity within the department. Assisted in development and training of secretaries on PC software. Organized the preparation of complex marketing and technical documentation. Skilled in converting host applications to PC software application for document generation. Organized and generated mail outs of announced changes in product offering to existing customer database. Created numerous graphics and statistical presentations for marketing and technical personnel. Coordinate and prepared numerous documents and reports for branch office reviews.

New Orleans, Louisiana, United States

Bs, Management Information Systems, 3.2 Gpa

Certificate, Paralegal, 3.0 Gpa

Diploma, High School Studies, 3.0 Gpa

Activities and Societies: COE, Future Business Leaders of America