• Review flagged email and Teams messages in the Global Relay surveillance system weekly for compliance with company and regulatory policies and rules, and take action as needed• Manage the FINRA and NFA registration processes, including filing and amending Form U4/8-R, filing Form U5/8-T, ordering study materials, and scheduling exams• Track required quarterly Firm Element and annual Regulatory Element continuing education (CE) courses to completion• Manage administration and configuration of Global Relay system, including maintaining keyword lists, cases, and whitelists, setting up new users for supervision, scheduling reports, and performing searches• Manage administration of MyComplianceOffice (MCO) system, including onboarding new associates, review of employee trading accounts, maintaining tasks and questionnaires, and tracking completion of periodic employee attestations and certifications• Make updates within FINRA Gateway/WebCRD and NFA Online Registration System (ORS) as needed, such as Form BD amendments, updates to firm contacts, and user management• File customer complaints quarterly in compliance with FINRA Rule 4530• Assist with gathering information for regulatory requests• Maintain tracking spreadsheets and logs related to the above responsibilities

• Managed the administration, configuration, and day-to-day functions of the Proofpoint email surveillance system, overseeing 12 divisions for the lines of business with over 70 review teams, while training new users, maintaining changes to monitored staff, policies, rules, and review teams, and handling communications to reviewers• Helped to develop new set of flagging rules in Proofpoint to more appropriately fit the current regulatory landscape• Handled quarterly risk reporting with respect to email surveillance, using flagging and sampling reports to look for trends and to ensure numbers were within expected threshold for supervision• Provided input and support for the Firm’s ongoing effort to enhance the electronic communications program, including updates to certifications, policies, and trainings• Assisted with creation and maintenance of OSJ and branch office inspection program materials, with 30+ OSJ inspections annually as well as a 3-year rotation of 60+ branch offices (for 2020, helped develop a virtual office inspection program for remote supervision purposes, which we built upon for 2021 and beyond)• Established and cultivated compliance-driven partnerships across lines of business • Maintained other aspects of broker-dealer business such as Registered Location Supervisory Review tracking and review, review of supervisory structure changes and their impact to the business, and monthly FINRA roster report review and analysis• Updated policies/user guides and created recorded trainings

Main responsibilities included reviewing and responding to customer complaints, in addition to email and social media surveillance, reviewing and approving pre-hire applicants and outside business activities, reviewing surveillance reports and flagged trades, and traveling to sales offices for inspections.

Made travel arrangements, prepared inspection packets, logged customer complaints, prepared expense reports, assisted managers over the phone, maintained databases and spreadsheets, performed email surveillance, prepared mailings, and performed other administrative duties as needed, such as faxing, filing, and copying.

Provided exceptional customer service to both clients and sales representatives over the phone by assisting them in filling out paperwork, making updates or changes to account information, helping to navigate the company website, and responding to various other inquiries.

Assisted with day-to-day errands, organized and formatted daily press clippings, developed and distributed mailings, worked on press releases, organized RSVPs and tickets for press performances, general filing and phone duties, helped organize press lines for opening nights.

Held office hours for tutoring, assisted students during lab periods, graded homework and exams, general duties such as photocopying.