Jamison Jones Email & Phone Number

Greater Omaha Area

As a Regional Compliance Manager I supervise and support financial advisors all across the country. One aspect of this role includes answering direct questions from advisors and their office regarding industry or firm regulations/policies. Additional responsibilities include developing new processes of supervision, communicating changes in regulations and regular audits of individual and office activity.

My role as a Regional Sales Supervision Principal involves the review of financial advisor business to ensure they are in the best interest of the client and not in violation of firm or industry guidelines. We work closely with the Compliance department to update our systems and standards to make sure we are meeting expectations and minimizing risk to the firm.

As a Financial Investigations Unit Analyst, I review the sales activity in Advisory accounts for any violation of industry or firm standards. In addition to regularly reviewing sales activity, I work with teams across the company to ensure systems and policies are in place for new regulatory requirements. I created the Vulnerable Adult Financial Exploitation investigation process and work with advisors and government agencies to protect clients.

My responsibilities as a Trade Support Analyst included completing securities transactions for clients and advisors, as well as Principal approval of new accounts for suitability and firm acceptance.

While working as a Licensing and Registration Analyst I filed partial and full U4s with FINRA, as well as completed fingerprint and background checks for potential new associates. I responded to state and regulatory inquiries and approved Outside Business Activities.

During my time as a Client Account Services Principal, I analyzed Power of Attorney, Trust, and other legal documentation for compliance with firm, state, and federal laws/regulations. I approved Margin and Option applications as well as Collateral Loan Agreements.