In my current role, I analyze negative news and adverse media items, providing secondary reviews for all enhanced due diligence on money movements. I serve as a backup to the Chief Compliance Officer, managing core compliance functions such as regulatory reporting, filings, and inquiries. My responsibilities include drafting and revising compliance documentation, including Written Supervisory Procedures and desktop procedures. I oversee the collection and management of reportable activities under FINRA Rule 3200, as well as conducting principal reviews of firm communications in accordance with FINRA 2210 and the SEC Marketing Rule.• Recommended and documented data logic to automate review/approval of account, margin, and option applications.• Increased new account conversion ratio by 15%, improved onboarding efficiency, and reduced regulatory risk at no additional cost by reviewing CIP vendors' capabilities and requesting POCs from existing and new vendors.• Streamlined new account processing and customer experience by identifying CIP vendor inefficiencies, selecting an alternative vendor, and collaborating on implementation into front-end and back-end systems.• Executed new business rule logic with account onboarding vendor, decreasing manual account review by 80% through Straight-Through Processing (STP) adoption.• Prevented asset loss of over $100K in the first quarter by optimizing the Anti-Money Laundering (AML) program through the integration of biometric identity verification.

In this position, I devised and revised policies and procedures to ensure alignment with regulatory standards while facilitating effective communication to support personnel. I assisted with internal investigations by compiling data, conducting interviews, and providing appropriate recommendations for department-related issues. Additionally, I performed branch audits and enhanced the accuracy and effectiveness of ADV2Bs by creating documentation for both existing and new advisors.• Enforced robust compliance frameworks by evaluating and testing the Firm's policies and procedures.• Facilitated solicitation and sale of non-traded alternative investments and diversified the firm's product offerings by contributing to the amendment of the Firm's Form CMA.• Established Associate Disclosures Team (ADT) to administer and examine associate disclosures in compliance with FINRA Rule 3200.

As a Client Onboarding Officer, I fostered a knowledgeable and skilled workforce by organizing comprehensive training sessions for team members. I directed all aspects of new client onboarding, ensuring compliance with Anti-Money Laundering (AML), Know Your Customer (KYC), and account opening protocols within the Chase Wealth Management business line.• Boosted processing efficiency by reviewing and updating 300+ communication templates for new account onboarding.• Acted as a first-level escalation point, team trainer, and subject matter expert for policy and procedure development, including creating a document matrix for Complex Entity training and principal reviews.

During this tenure, I executed thorough suitability reviews for all new businesses, including brokerage accounts, advisory accounts, direct business accounts, 529 plans, and complex products such as annuities and alternative investments. I analyzed written correspondence, electronic communications, social media, advertising, private securities transactions, and outside business activities for designated branch offices. Additionally, I performed monthly compliance tasks and reporting for trade, email, and correspondence reviews, while escalating supervisory concerns and conducting in-depth investigations into risk areas.• Raised operational efficiency by steering 45 independent advisors and affiliated staff for brokerage/advisory services.• Maintained vigilant compliance posture within the financial services industry by serving as secondary review principal for all 529 plan transactions and overseeing the firm's options activity.• Upheld firm quality and compliance standards by fostering advisor relationships through proactive communication and education on issue resolution and best practices.

As a Compliance Analyst, I managed regulatory inquiries and audits for a self-clearing brokerage and RIA custodian within the FinTech industry, serving as the primary contact for broker-dealer and registered investment adviser correspondents. I ensured compliance with industry standards and regulatory requirements by spearheading the advertising review process. Additionally, I led annual risk assessments to identify and mitigate potential compliance risks and administered the firm's electronic communication system through Global Relay, which included organizing training sessions for newly designated supervisors.• Supported clearing firm regulatory reporting via FINRA Gateway, including short interest, blue sheets, and 4530 filings, while assisting with licensing and registration processes through WebCRD.• Optimized client service experience by revamping the advertising review process and introducing a new tracking system via Schwab Compliance Technologies (SCT).• Streamlined information sharing and task tracking within the compliance team and augmented overall department efficiency by establishing new procedures.• Enabled prompt and accurate compliance reporting by addressing regulatory inquiries from state jurisdictions, SEC, FINRA, and the Department of Justice.

In this role, I led a team of five Regulatory Principal Consultants (RPCs) in the review of various financial products, including brokerage accounts, advisory services, mutual funds, 529 plans, variable and fixed/indexed annuities, and alternative investments such as 1031 exchanges. I managed escalations from RPCs and provided guidance to affiliated advisors on new business processing, industry best practices, and issue resolution. My focus on compliance ensured that all operations adhered to regulations while promoting team effectiveness through operational oversight, training, and workflow management. I also drove continuous process improvements and enhanced customer service scores by identifying innovative solutions to better serve advisors.• Developed a motivated workforce by elevating employee engagement within the team and Operations department.• Served on the implementation team for Protegent Surveillance (ProSurv) in 2016, driving compliance surveillance efforts through ProSurv trade review oversight.• Minimized NIGO rates and improved SLA processing time by approximately 20% through implementation of new workflows and procedures.

In my previous position, I educated representatives and staff on suitability issues, policies, and procedures while promptly responding to service inquiries. I conducted trade surveillance and followed up on periodic exception reports using the Protegent Surveillance (ProSurv) system. My responsibilities included ensuring compliance with FINRA and SEC regulations by monitoring electronic correspondence for supervised advisors through Global Relay. Additionally, I reviewed and approved new business submissions, which encompassed brokerage accounts, advisory services, 529 plans, direct-held mutual funds, non-traded alternative investments, private offerings, and fixed/variable insurance products.• Administered operations for 75+ independent registered representatives, investment advisers, and non-registered staff in alignment with regulatory standards and firm policies.• Led eight investigations into sales practices, culminating in the termination of three financial advisors and safeguarding the firm from potential regulatory enforcement actions.• Acted as direct regulatory contact with FINRA, SEC, and State Securities boards on behalf of supervised advisors, addressing inquiries and audits.• Contributed to risk mitigation strategies by consulting with Compliance on disciplinary actions, regulatory inquiries, and audit responses.