Deb Quach Beck Email & Phone Number

Currently spearheading the development of a comprehensive broker-dealer compliance program for a pioneering platform that facilitates private capital raises to fund utility-scale renewable energy projects in the U.S. Working cross-functionally with product and development teams to design a seamless investor experience that aligns with regulatory standards.- Established Marketing Compliance Framework: Created a public-facing marketing review process, supporting the successful launch of the company’s website, social media, and blog, resulting in growth from zero to 28,000 active users.- Enhanced Compliance Functions: Developed and implemented supervisory compliance functions, procedures, and processes, effectively supporting business initiatives and enabling rapid scaling.- Lead in regulatory examinations and inquiries- Launched Reg CF Offerings: Orchestrated the launch of two fully funded Regulation Crowdfunding (Reg CF) offerings, managing all stages from inception through completion.- Scoped Investment Products: Collaborated with product teams and developers to scope compliant Reg CF, D, and A/A+ products for large-scale renewable energy projects.

Transition duties from interim CCO, build out a broker dealer compliance program to scale, coordinate with product & technology regarding platform build out, prepare for launch of services, and website.

San Francisco, California, Us

Responsible for the design and execution of the compliance program for the broker dealer, evaluating business risk, establishing policies, goals, and objectives for the Firm. Lead liaison between regulators and the Company during examinations and inquiries. Keeping the Firm in compliance with the SEC, FINRA, and all state rules/regulations, reviewing the appropriateness of the compliance system and procedures, and implementing necessary remediation for any identified deficiencies or gaps.

San Francisco, California, Us

Responsible for a team of Compliance Associates that supervises 4 OSJs across the country. Provides oversight in Compliance, Supervision and Risk monitoring for the following:- Registered Representative U4/U5s- Regulatory filings via FINRA Gateway- Review for conflicts of interests i.e insider trading, selling away from the firm, outside business activities, and private placements- Developing annual needs analysis- Annual Compliance Meeting & training for Registered Representatives- Electronic communications surveillance

Conduct market, sales, and trading surveillance for equity securities and laying the foundation for the Compliance program to ensure successful regulatory examinations. Respond timely to FINRA and SEC inquiries and maintain records to demonstrate adequate supervision and remediation changes. - Develop trading surveillance reports with a outside vendors to identify market manipulation such as wash sales, pump and dumps, abnormal trading activity, and other triggers to refer Suspicious Activity Reports (SARS) filings.- Review employee outside business activities and investments to ensure compliance with firm requirements.- Collaborating with various business units to ensure compliance standards are met, proper books and records are maintained, and proper FINRA filings such as BD disclosures and 4530 complaint filings are reported in a timely manner.- Monitor internal/external emails, instant messages, and written correspondence.- Update Written Supervisory Procedures and audit different department desktop procedures yearly to ensure consistency with firm WSPs.- Conduct training for onboarding employees and continuing education for existing members.- Update U4 and U5 registrations through the FINRA Gateway

New York, Ny, Us

Supervised the Trade Blotter Review, Black Out Trade, Front Running, Equity Solicitation Violation, Cross Trade, Option Out of Level Alerts, Senior Activity Suitability, & Know Your Customer information for 3 Complexes in adherence to compliance and risk policies. Worked directly with the Complex Risk Officers nationwide to provide coaching and guidance on regulations to promote risk awareness and identify specific trends of concern.

St. Louis, Missouri, Us

Resource for internal registered representatives on department processes, information regarding security regulations, and respond to escalated customer complaints and inquiries. Approved complex option orders and large orders

Us

Trading representative responsible for entering orders , providing client support, and handling escalations.