James Leahey Aif Email and Phone Number

Lead a team of dedicated compliance professionals giving indispensable advice to our 2,000+ Advisors and their staff. Lead daily TEAMS meetup and weekly Correspondence review meeting to answer any escalated items and ensure team has answers, resources and direction to complete assigned duties. Track work volume and status to ensure team meets deadlines. Review and provide feedback on upcoming policy changes and announcements. QA work product and deliver on my own assigned review activities.

Address escalated inbound calls and emails, as well as "correspondence review" questions from team members. Partake in special projects as a Senior team member. Perform the same front-line duties as the Compliance Advisors (see below). Keep up with Industry press and share with team pertinent articles, rule proposals etc. that impact our industry and team duties. Deliver annual Firm Element presentation and as needed, anti-money laundering (AML) and/or the Annual Compliance Meeting.

Answer inbound calls and emails from advisors and staff ensuring understanding of firm policy and rules. Perform email and hard copy correspondence review on our Symantec system. Do so within time and content standards while educating on violations and best practices. Approve "Manual Asset" entries, non-cash compensation & due diligence requests, Outside business activities and personal private security transactions. Provide annual trainings and attended annual FINRA conference.

Produce and deliver all Compliance period-end data to the fund advisor and sub-advisor for “First Trust/4-Corners” closed end mutual funds in addition to the following tasks: Daily processing of all fund related expenses, accruals, loan payments and bills.Monthly execution of Performance Returns, Summaries, and various month-end deliverables.Provide Quarter-end, Semi-annual and Annual documentation.

Perform the Daily trading, valuation and accounting for variable Annuity and Life separate account investments. Other duties include reconciliations, proxy coordinator, supervisory review and projects.Mitigate risk of valuation issues impacting 11 billion dollars of separate account assets.Responsible for Separate Account audit control checks for our Mass Mutual relationship.Contributor to multiple procedural updates for team and individual processes.

Accountable for proprietary and non-proprietary product purchases and transaction review. Analyze periodic surveillance reports timely and consistent with WSP’s. Review and file advertising with FINRA. Member of a five-person team created to comply with 17a3/4 “books and records” amendments.Delivered a one-hour presentation on annuity advertising for our marketing department. Other tasks including customer complaint handling, SAR reporting and continuing education.

Supervisor for all daily executables, processes and workflows impacting the Annuity Quality Assurance department. This encompassed the creation and maintenance of trend data and reports to provide feedback to all stakeholders. Daily execution of variable annuity transactions that required documentation review. Enhanced our “Cash-With-App” report process to integrate greater accountability for pending cash items. Approve all forms of New Business transactions completed by each Business line processing group. Key developer of a mentor program matching both a processor and quality assurance member to foster deep appreciation and cooperation across departmental lines, netting superior results.