Eric Kirsch Email & Phone Number

Missouri, United States

St. Louis, Mo

St. Peters, Mo

St. Louis, Mo

Supervise and support Registered Representatives to ensure they follow firm policy, industry regulations, and AML policies in order to facilitate business within the confines of statutory regulations.Review enterprise level branch trade activity using daily trade blotter and exception reports to research abnormalities and investigate anything out of the ordinary.Managed incidents by researching the data and other supporting information, determine whether there is a pattern of non-compliant activity, and take action up to and including termination of the Registered Representative. Review brokerage, mutual fund, and variable product business for suitability to make sure the products being sold were presented accurately, ethically, and in the best interest of the customer. Performed Quality Review Audits and approved Registered Representative calls, faxes and e-mails based on internal policies and to verify adherence to State/Federal regulations. Any violations were escalated based on internal policy.Perform audits of branch offices throughout the United States to ensure that satellite offices were adhering to company policies and procedures along with guidelines set by State and Federal regulatory bodies (e.g. FINRA). Communicate issues and outcomes to Registered Representatives, other home office associates, and – occasionally - clients based on the outcome of an audit or incident report.

Perform audits of branch offices throughout the United States to ensure that satellite offices were adhering to company policies and procedures along with guidelines set by State and Federal regulatory bodies (e.g. FINRA). Monitor trading activity in customer and employee accounts to ensure compliance with internal policies as well as State and Federal regulations. Responsible for conducting Scottrade new Branch Manager training classes. Responsible for training new Compliance Examiners on firm policies and procedures. Review incoming and outgoing email from customers and employees for specific keywords as well as general content to verify adherence to State/Federal regulations, internal policies, and ethical guidelines.Work with legal counsel on mediation and arbitration proceedings. Monitor firm policies and procedures to ensure compliance with the Patriot Act and AML laws. Updated non-compliant policies in accordance with State and Federal expectations and regulations based off changes these laws mandated.

Perform audits of branch offices throughout the United States to ensure that satellite offices were adhering to company policies and procedures along with guidelines set by State and Federal regulatory bodies (e.g. FINRA). Monitor trading activity in customer and employee accounts to ensure compliance with internal policies as well as State and Federal regulations. Responsible for conducting Scottrade new Branch Manager training classes. Responsible for training new Compliance Examiners on firm policies and procedures. Review incoming and outgoing email from customers and employees for specific keywords as well as general content to verify adherence to State/Federal regulations, internal policies, and ethical guidelines.Work with legal counsel on mediation and arbitration proceedings. Monitor firm policies and procedures to ensure compliance with the Patriot Act and AML laws. Updated non-compliant policies in accordance with State and Federal expectations and regulations based off changes these laws mandated.

Bachelor Of Science In Business Administration

Education record