Doug Preveza Email & Phone Number

United States

Darien, Connecticut, United States

Waltham, Massachusetts, United States

Responsible for directing the firm’s compliance operations, licensing and registrations, vendor management, and advertising review teams and closely collaborating with other compliance groups. The teams included 4 managers and about 25 staff persons. With the assistance of technology, we reviewed thousands of advertisements, transactions, and attestations a year. In addition, due to the investment advisor marketing rule, we undertook major policy and procedure overhauls, including significantly changing our composite management system and policies regarding testimonials and awards.

Greater New York City Area

Responsibilities include conducting supervisory control reviews and anti-money laundering testing, creating written supervisory procedures, conducting branch office inspections, and providing customized advice to broker-dealers regarding the development and execution of their compliance programs.

Greater New York City Area

Providing outsourced Chief Compliance Officer, compliance consulting, and independent testing services.

Hartford, Connecticut Area

• Serving as Chief Compliance Officer for a broker dealer, S.E.C. registered investment adviser ($700 million AUM), and insurance agency which has grown from $40 million in annual revenue to $70 million in 3 years (projected to be over $100 million in 2016).• Leads a team that provides supervisory oversight and support of the firm's 300 dual registrants, 300 registered representatives, and 700 branch offices located in banks and independent offices.• Provides oversight of the investigation and response to customer complaints and inquiries from self-regulatory organizations, states and the S.E.C. • Supervises the AMLCO who maintains the firm’s anti money laundering program and supervises the daily AML reviews conducted by the firm's compliance and operations staff. • Works with the firm’s supervisory, trading and operations, finance, and marketing personal to review and implement new technologies and initiatives. • Supervises a team of 3 auditors conducting over 300 audits a year.• Supervises and provides consultation to the FINOP and CFO on matters relating to FOCUS reporting. • Manage the licensing and registration team and worked to find efficiencies in their processes.• Provide management of the advertising review team for compliance with investment adviser and broker-dealer regulations.• Provide management of the surveillance review team (trade and email) greatly enhancing the trade surveillance to address S.E.C. and FINRA concerns.• Supervised personal trading reviews.• Supervised best execution reviews.• Responsible for assisting with Form ADV amendments.• Responsible for updating investment adviser and broker-dealer manuals including code of ethics updates.• Manages a growing staff in an evolving industry.

Greater Boston Area

May 2004 - May 2012• Conduct scores of routine and special examinations of securities brokers’ and dealers’ financial, sales, trading, underwriting, and supervisory and organizational practices including anti money laundering, market timing, and late trading• Serve as the initial point of contact for over 80 broker dealers and assist them with changes in business• Interact regularly with NASD Enforcement staff to assist in potential formal disciplinary action cases• Investigates customer complaints, member firm terminations of associated persons' employment for regulatory cause, and activities of associated persons to determine compliance with federal and NASD rules and regulations• Conduct and document analyses of the financial condition of assigned member firms, ongoing surveillance of member firms' activities to identify issues for examination• Research rules regulations, guidelines, records and databases to gather information used in conducting reviews and examinations• Conduct root cause analysis in assessing violations and communicate examination progress and findings to manager• Participates in special projects or regulatory efforts undertaken by Member Regulation or district office.

Conducts routine and special examinations of member firms’ financial, sales, trading, underwriting, and supervisory and organizational practices to determine compliance with federal and NASD rules and regulations. This includes collecting and reviewing member firms’ records and documents, customer-supplied information, and information available through NASD systems. Conducts and documents analyses of the financial condition of assigned member firms. Conducts and documents ongoing surveillance of member firms’ activities to identify issues for examination. Informally interviews member firm personnel, member firm customers, other NASD staff, and staff of other regulatory agencies to gather data pertinent to examinations, investigations and reviews. Researches rules regulations, guidelines, records and databases to gather information used in conducting reviews and examinations.

Quincy, Ma

• Approve the Corporation’s annual budget and program plans• Review continuing programs in order to carry out the purpose of the Corporation• Elect a president and other officers, directing them to manage the day-to-day affairs of the Corporation• Work with other members of the Audit Committee to engage the auditors and report to the Board any key events• Act as a liaison between the PAC committee and the Board of Directors

· Develop relationships and serve as primary interface to BSE, CBOE, and Listed Equity/Listed Options Desks Provide periphery compliance support to the Institutional Sales Desk, Intermediary Desk, NYSE Floor Operations, Syndicate Desk, and the Vestigo Research· Perform biweekly new hire orientation and annual compliance talks to as many as 50 people· Acquire capital markets product and system knowledge · Identify compliance/regulatory concerns and present solutions to business partners· Advise supervisors regarding their responsibilities and the proper utilization of compliance tools· Represent compliance on implementation committees for new business or expansion initiatives · Recognize and assess possible areas of regulatory exposure to both the business unit from a trading desk and operations perspective· Coordinate and respond to regulator audits and inquiries · Review Vestigo research reports and Syndicate Desk news letters

· Hired, trained, supervised, and reviewed back office staff which serviced over 900 independent Registered Representatives· Built relationships with several producers focusing on top and developing producers· Performed and supervised all manner of trading and operations functions· Leveraged product knowledge to answer questions and train Registered Representatives on different investment options such as stocks, mutual funds, and variable annuities· Supported the development of new products and coincident sales, marketing and distribution of those products· Assessed and implemented changes in current operational and trading practices to make them more profitable, regulatory compliant, efficient, and user friendly· Produced and explained weekly reports about production, issues, concerns, and developments to top management

· Received incoming calls for 401K, dividend reinvestment, and stock option plans founded by major firms· Initiated financial transactions, along with resolving, and processing inquiries· Provided a working knowledge of all 401K regulations and the specific plan provisions utilizing Omni Plan Systems· Solved problems and addressed concerns for irate individuals