Dan O'Very Email & Phone Number

St. Louis MO

• Perform reviews of advertising and sales literature
• Analyze, assess and resolve issues arising during ad-hoc and recurring surveillance reviews involving client accounts, sales practices, security-specific issues and others
• Administer compliance program for employee activities, including outside accounts, outside business activities, private securities transactions, political contributions and others
• Support annual compliance assessments relating to Anti-Money Laundering, investment advisory and supervisory controls procedures and activities
• Assist in preparation for, and conduct of, branch office examinations
• Coordinate drafting, publication and maintenance of policies and procedures

St. Louis, MO

• Completed branch audits of Financial Advisors to ensure compliance of regulations
• Handled CQA testing of AML regulations and certain bank regulations
• Provides guidance to Sales Principals, Regional Managers and Financial Advisors to address all concerns and inquires in a timely manner
• Completed monthly reports for Office of Supervisory Jurisdiction in order to accurately file required reports and respond to inquiries

Mba

Bachelor Of Science, Finance

Activities and Societies: Delta Chi Fraternity

High School

Activities and Societies: Ice Hockey