Daniel Acevedo Email & Phone Number

Boca Raton, Florida

Boca Raton, Florida

Boca Raton, Florida

Boca Raton, Fl

• Responsible as Compliance Officer: review registered representatives’ client files, responsible for keeping the Agency in compliance according to John Hancock and FINRA rules. Review and approve incoming and outgoing mail.• Reviewing and approving of all new business including all equity business.• Conducting File reviews with registered reps.• Implemented phone and data systems, created new job descriptions and train new employees in John Hancock’s procedures and systems.• Train, coordinate and supervise New Business department. • Created Payroll Manual and trained the Accounts Payable and Payroll personnel• Train IT staff on John Hancock programs and was responsible for maintaining and updating all computers• Assist representatives joining the organization with the procedures, systems, forms and operations of the new organization.• Knowledge of FINRA rules and regulations regarding suitability, business conduct, records and documentation.• As a Registered Principal: review all applications submitted. Make approval or rejection decision for suitability of all new business submitted by all representatives in our three offices as well as detached Reps.• Use of Signator Investor’s new Account Center system, review new business for suitability and appropriateness of the product for the client.• Compliance reviews of representatives’ files and our Agency files and procedures to insure that all John Hancock, Signator and FINRA, and State procedures are being followed by Representatives and office staff.• Liaison between the Agency and the home office underwriting departments, discussing cases and presenting all the needed information to secure the most favorable offer for the client.• Train and assist representatives with the new Account Center system -- including how to enter, submit and review new business that has been pended back to the representative for additional information or completeness.