Dwayne Burns Email & Phone Number

Miami/Fort Lauderdale Area

• Fostered and preserved ongoing relationships with high-net-worth individuals to address asset allocation, portfolio analysis, financial planning and budgeting.• Optimized document retention procedures and client onboarding process to ensure adequate regulatory compliance procedures and cybersecurity risk measures were maintained.• Conducted quarterly account reviews with all clients in order to assess their progress and make necessary changes as well as discover opportunities and address other financial service needs.

Tallahassee, Florida

• Performed on-site investigative business audits of associated persons of broker-dealers and investment advisors to ensure compliance with Chapter 517 Florida Statutes, FINRA, and SEC rules.• Inspected firm disclosure information to include criminal history, disciplinary disclosures and supporting documents to determine if additional review is warranted for enforcement purposes.• Trained new Level I analysts and reviewed work performed to ensure understanding of procedures for registration processing.• Advised senior management on recommended disciplinary action plan based on an evaluation of audit report risks.

Tallahassee, Florida

• Analyzed pending applications from associated persons of financial firms seeking securitiesregistration in Florida to identify existing deficiencies deterring further processing.• Interpreted and applied regulations outlined in Chapter 517, Florida Statutes and the Florida Administrative Code to applications for securities registration.• Communicated to firms and applicants outstanding requirements and action needed to ensure compliance and facilitate application processing.

Bachelor'S Degree, Economics And Finance

Activities and Societies: W.E.B. Dubois Honor Society, Phi Eta Sigma National Honor Society• Graduated Cum Laude

High School