Edward Lian, Mba, Aif® Email & Phone Number

Palo Alto, California, Us

Palo Alto, California, Us

-Developed marketing compliance guidelines to streamline communication of key firm and regulatory rules to help guide internal and external stakeholders. This helped reduce review turnaround times and increased efficiency for faster and more compliant content production.-Conducted detailed reviews of the firm’s advertising and marketing materials to help ensure adherence with FINRA and SEC regulations.-Provided guidance, training, and support to business partners, driving compliant marketing initiatives that led to positive user growth.-Collaborated with compliance leadership, internal stakeholders, and outside vendors to help develop new processes, policies, and controls that would enhance our compliance review process for influencer marketing materials. This allowed for greater oversight while reducing review times.

Palo Alto, California, Us

Menlo Park, California, Us

Responsible for reviewing and approving retail brokerage communications to ensure compliance with regulatory requirements and internal guidelines. Provides ongoing support in guiding internal teams (Marketing, Communications, Content, Public Relations and Product) on compliance matters for projects and customer facing communications to ensure requirements are met in regards to Firm policy, SEC rules, FINRA regulations, and other regulatory agencies. Help develop and implement process improvements designed to increase quality and scalability. Monitors and keeps up to date with pertinent industry regulations.

St. Petersburg, Florida, Us

Provides daily support to financial advisor teams, and completes ongoing functional reviews focusing specifically on the policies and procedures required by the SEC pursuant to FINRA Rule 2210 regarding broker-dealer advertising and marketing materials. These may include reviewing various ads, disclosures, notices, compliance related regulatory reports and forms to ensure compliance with FINRA rules and regulations. Assists in ongoing training initiatives with peers and new associates.

Charlotte, Nc, Us

• Provides technical, analytical, and leadership support in a team lead role over the settlements and distributions functions for assets transferring between firms. These include transfers involving mutual funds, equity, fixed income, and FED assets.• Processes high volume of data while keeping in line with standard service levels in terms of accuracy and timeliness. • Maintains extensive contact while providing a high level of service, support, and responsiveness to internal business partners, front office personnel, and outside financial institutions in order to identify, research, and resolve problems.• Ensuring transfer requests are initiated accurately from start to finish by adhering to processes/guidelines, and communicating with team members along the way to ensure timeliness completion of daily tasks and settlement deadlines.• Recognizing, researching, and resolving complex problems which can prevent monetary, or integrity loss to the firm and other financial institutions. This also provides training opportunities within the team.• Coaching and helping team members in various job functions in order to achieve team and individual goals.• Assisting with the implementation of new technology, which include continued process improvement initiatives.

Charlotte, Nc, Us

I provide day to day support for all requested U.S. Trust trade functions. These include Equity and Fixed Income trade allocation, step-out/step-in booking, and non-market correction & break resolution for clients. Other key roles include building and taking care of existing internal/external business relationships, which include third party investment managers. I also assist in the implementation of new technology, which include continued process improvement initiatives, and the training of new and existing team members.

St. Louis, Mo, Us

Oversees branch operations with an emphasis on our four core areas (customer service, employee development, growth, and profitability) to create a winning sales and service culture, which will fuel the branch to be among the top performers in the group.

St. Louis, Mo, Us

I am responsible for developing new business and maintaining current relationships. I am also responsible for cost control, including reading my branch's P&L statement and understanding what it takes to run a profitable business. Another aspect is to deliver superior customer service by effectively communicating, influencing and interacting with all types of customers, vendors and co-workers. In my role as an Assistant Manager, I practice proper sales techniques to problem solving and conflict management while also marketing to local business partners in order to build solid, long-lasting relationships with key business decision-makers. Employee development and being the quarterback of my branch are also some of my key responsibilities.

St. Louis, Mo, Us

To develop into a management role while leading in personal sales and providing outstanding service.

Master Of Business Administration - Mba, Business Administration, Management And Operations

Bachelor Of Business Administration (B.B.A.), Business Administration And Management