Philip Esposito Email & Phone Number

Doylestown, Pa, Us

Pershing Advisor Solutions is a FINRA and SIPC member broker-dealer that provides technology, practice management and business outsourcing solutions to state and SEC-registered investment advisors and other organizations.Plan and execute business operations and compliance solutions to enhance and support the organization's reputation with clients, regulators and the global financial services community. Collaborate with executives, legal/risk professionals and other decision-makers in shaping the future of the enterprise and minimizing franchise, reputation and financial risk in an ever-changing industry. Coordinate with regulatory agencies. Build, lead and motivate direct reports. Recruit new talent and provide ongoing coaching and development.Proactively relocated to the company's Lake Mary office in '12 to establish a compliance culture, advance corporate priorities and build a top-performing in-house team.

Jersey City, New Jersey, Us

Served as integral member of the management team by working with colleagues in identifying and resolving complex business and client-focused challenges. Monitored changes in the legal and regulatory landscape, and presented insights and recommendations to decision makers. Oversaw registration processes for the firm and staff. Investigated and responded to customer complaints, and submitted required complaint reports to FINRA Gateway. Appointed as Registered Options Principal (ROP) with accountability for reviewing and validating compliance of the firm's option trading activities.

Jersey City, New Jersey, Us

Advanced the organization's vision and objectives by auditing business activities, processes and procedures to verify compliance with internal and external requirements. Performed credit risk analysis. Skillfully functioned as Business Operations Manager (BOM) when approving new accounts, and ROP when approving option accounts. Entrusted as principal of the firm when approving outgoing checks and wired funds. Accepted additional responsibilities as Systems Security Administrator.

Jersey City, New Jersey, Us

Initially hired as Trader/Investor Service Representative, and advanced to Compliance Officer in '94 for DLJ Direct, a Pershing start-up business that offered the first online retail trading platform in a rapidly changing industry.Performed extensive assessments to ensure that daily equity, options, mutual funds and fixed income trading and account activities complied with current industry and regulatory requirements. Evaluated credit risk exposure. Responded to regulatory inquiries and client complaints. Participated in rolling out online products to the financial community.