Frances Lyons Email & Phone Number

Charlotte, North Carolina Area

Special assignments, allegations of fraud waste and abuse, triage to appropriate federal or state agencies. IS, Microsoft share point project lead. Member of ACFE, CFE designation, LOMA, FLMI. Investigate, determine action plan, document ion and recommendations.

As an RVP developed relationships for the provider with brokers in the life settlement industry. Coordinate and negotiated life settlement transactions. Educated professionals about the licensing, institutional funders and the life settlement process. Presentations,Trade shows and CE events. Worked with bank trust departments, insurance professionals, CPA's, JD's as a provider to the broker.

Developed and conducted compliance audits and training.Audited OSJs, Call Center Operations, Branches, Principals and 800 Registered Representatives.Produced reports and processed audit documentation.Monitored monthly and daily reports including trades, registration exceptions and cancellations.Maintained knowledge of current rules, laws and regulations for Securitites Industry, FINRA (NASD/MSRB)Supported Securities AMLO with all phases of developing and maintaining procedures and audits AML includes FinCEN, OFAC,SAR,CIP and KYC.Reviewed and approved outgoing correspondence when sales principals were unavailable.Audited principal approval of client applications.Reviewed trust documentation and suitabiltiy recommendations.Investigated al phases of resolution for clients' verbal issues and written complaints.BD/MSRB filings including complaint quarterly filings, U4's and U5's.Special Projects:Implemented Firm Element, AML and Continuing Education training system with RegED.Became astute in and maintained all aspects of Securities and Insurance Registration Department during the resignation of two employees fo six months until replacements were hired. Trained replacements for both posititons and continued to assist as needed.Implemented the firm's transition to BR through Web CRD.Managed and processed the Conversion Project to Dain Rauscher.BCP development and implementation to include Pandemic issues.