Jaclyn Deem Email & Phone Number

Oak Brook, Illinois, United States

• Work with Branch Compliance Team to manage compliance functions
• Conduct ongoing compliance supervision of books, records, transaction reporting and product suitability for securities and insurance sales
• Implementation and enforcement of new and revised compliance regulations and procedures.
• Responsible for ensuring sales practices and account documentation comply with SEC, FINRA and state rules and insurance regulations
• Conduct email surveillance and supervise AML policy and procedures
• Perform annual in-branch and off-site audits of registered and licensed representatives

• Work with Branch Compliance Team to manage compliance functions
• Conduct ongoing compliance supervision of books, records, transaction reporting and product suitability for securities and insurance sales
• Collect, process, track, and maintain required forms from Associates
• Implementation and enforcement of new and revised compliance regulations and procedures.
• Responsible for ensuring sales practices and account documentation comply with SEC, FINRA and state rules and insurance regulations
• Review, approve and supervise sales correspondence, advertising and marketing

• Assisted Branch Compliance Manager with collecting, processing and tracking required compliance forms and logs and maintain forms required from Associates
• Tracked and recorded all advisory account reviews
• Updated and maintained office records for main branch and detached offices
• Responsible for performing Branch Licensing Coordinator duties associated with maintaining records of Associate licenses; assist Associates with licensing requirements, appointments and registrations
• Provided administrative support for the District Manager and Associates within the district
• Maintained and ordered marketing material through the online ordering system and ordered office supplies