Greg Lund Email & Phone Number

Minneapolis Based Bank Broker Dealer

Manage the Surveillance team.Develop, maintain, and execute Surveillance routines for the oversight of the Broker Dealer and Investment Advisory business units.Participate in and act as liaison for Compliance in all BD and IA technology projects.Coordinate with Sales Supervision and Sales Management updates to the Protegent Supervision tool.Act as control and subject matter expert for all data requests for internal and regulatory exams.

Responsible for the implementation, support and training of new Product, Marketing, Compliance, and Sales technologies. Continued enhancements, support, and training of the desktop tools used by over 450 Financial Professionals across 22 states.Development and implementation of training materials for new and existing Financial Professionals. Contributing Member to Sales Advisory and Technology Advisory Boards.Project and Support Team representative to Supervision regarding all systematic supervisory functions.Serve as main contact with multiple vendors for initiatives involving desktop tools.

Responsible for a 14 person staff of licensed Investment Professionals and Customer Service Representatives in a call center environment. Shared responsibilities for a customer base of over 32,000 and assets under management in excess of $1 Billion. Duties included staffing, expense containment, and revenue productionPerformed all Supervisory and Principal functions for the Discount Brokerage call center including Licensing, Trade Review, and New Account Review.

Responsible for the training of new Investment Professionals and Customer Service Representative as well as the ongoing training needs of existing staff within two call centers.

Provide customer service and execute securities transactions for Discount Brokerage Clients in a call center environment. Responsible for developing and maintaining customer relationships while handling a large volume of calls.

Provide customer service and execute securities transactions for Retail Brokerage Clients in a branch location. Responsible for developing and maintaining customer relationships.

Held various positions within the Operations group of USBI (then FBS Investment Services). Positions held included:Margin Clerk – Responsible for monitoring margin account activity, issuing Fed and maintenance calls, filing trading extensions, liquidating delinquent accounts, managing cash debit report.Called Bond Clerk – Monitored and reported bond call notifications, executed called bond payments and maturities.Report Clerk – Produced and distributed all daily trading and activity reports for the Institutional Trade desk and Retail Sales groups. General Office support for the entire Operations group.