Daniel Murphy Email & Phone Number

Fortune Financial Services, Inc. is a premier independent broker dealer located in the greater Pittsburgh area with over 275 advisors. For over two decades we have been providing financial solutions for our representatives and their clients. We are a securities broker-dealer and offering a full compliment of mutual funds, annuities, and other insurance products. We have selling agreements with just about every top annuity and fund companies in the industry.What makes Fortune Financial Services stand out is that we still do business the "Old Fashion Way". That is, we keep things simple, are easy to work with, and consistently put in the effort to earn the trust of our representatives every day.

Orange County, California Area

Responsible for daily management of general compliance functions including the Compliance Licensing and Registration Department. Delegated to develop, implement and design an effective compliance program, including internal controls and monitor adherence to company policies. Proactively monitor anti-money laundering efforts, practices and related documents to identity risk. Evaluate business activities to assess compliance risk. Developed a company continuing education plan, regulatory annual required certifications and review written supervisory procedures. Assigned as the Anti-Money Laundering Compliance Officer delegated to conduct surveillance, investigations and report filings, as necessary.

VP, Chief Compliance Officer (March 2005 to March 2019)Responsible for overall risk management of PlanMember Securities broker/dealer and registered investment advisor as it relates to Compliance. Oversee Compliance Analysts activities including branch examinations, regulatory inquiries, surveillance, customer complaints and maintain service standards, as well as develop and implement strategic initiatives. Created and imlemented employee and independent representative compliance training programs, i.e., Annual Compliance Meetings, new hire training modules, Firm Element CE Plan, etc. Implemented supervisory controls such as an electronic communication retention program, web-based compliance manual, compliance exception reports, etc. Review personal securities transactions for all employees. Structued background checks on all interested candidates. Oversaw AML quality control QA/QC FinCEN/OFAC within regulator department guideline; ensure all Enhanced due Diligence, customer risk to effectively of AML department responsivities.

The NSCP is a non-profit, membership organization dedicated to serving and supporting compliance professionals in the securities industry. NSCP is the largest organization of securities professionals devoted exclusively to compliance dedicated to providing education, certification and consultation resources. Founded in 1987, NSCP membership is comprised of broker-dealers, investment advisers, private funds, banks, insurance, law and accounting firms.