Overseeing daily operations of brokerage firm, ensuring personnel are following restrictions and guidelines, and managing all aspects of compliance.-Develop, review and approve written supervisory procedures for risk management in order to ensure regulatory compliance across all departments-Develop, implement, and review firm's Anti Money Laundering (AML) Procedures-Respond to and assist with any inquires, investigations, and examinations made by state and federal regulatory agencies, especially SEC and FINRA-Convene and correspond with regulatory agents as they conduct both on- and off-site audits and examinations of the firm- Develop and implement new or amended procedures in response to findings in audits and examinations by regulatory agencies-Develop, review and enforce policies and procedures of Investment Advisory department to ensure both branches and advisers remain incompliance with Investment Company Act of 1940 and Investment Advisers Act of 1940, respectively-Research and examine developments in state and federal regulations, especially in regards to SEC and FINRA-Create and amend policies and procedures to ensure firm remains in compliance with changes in state and federal regulations-Review and monitor trading activity across all departments, including reviews of OATS, TRACE and RTRS reports-Carry out corrective action as required-Develop policies regarding electronic communications, advertising, research and marketing materials, and review these communicationon a regular basis-Review and approve all required documents of both the firm's personnel and customer base on a regular basis- Ensure all forms are filed correctly with regulatory agencies, including initial and amended Forms U4, Forms U5, Forms BR and Form BD-Handle customer inquires, disputes and complaints, and ensure proper filing with regulatory agencies is conducted

Managed fixed income desk that traded corporate bonds, municipal bonds, U.S. Treasuries, government agencies, certificates of deposit, commercial paper, and structured products.Executed trades for internal registered representatives, as well as for traders from other broker-dealers-Developed and maintained relationships with traders at other broker-dealers across all product lines to ensure best price execution- Executed fixed income trades with other broker-dealers via telephone or electronic communications, and through various electronicsoftware applications- Reviewed orders to ensure accuracy, compliance and conformance to regulations- Worked in tandem with clearing firm's back office to resolve any disputes or irregularities regarding fixed income trades- Advised firm's registered representatives looking to create and/or enhance fixed income portfolios for their respective clientele-Analyzed client accounts in order to determine fixed income recommendations that would best suit each client's investment objectives- Continually monitored client accounts to ensure currently held investments were still suitable for their needs.- Analyzed credit strength and risks of fixed income securities in order to make recommendations to firm's representatives and outsidetraders for their clientele- Created daily recommendations and ideas of various fixed income securities to both firm's representatives and outside traders- Provided overviews of various fixed income securities to firm's sales representatives and resolved any/all queries regarding their clients'investments- Created and maintained spreadsheets and reports detailing the rate of return and performance of specific client's fixed income investments