Jared Margolies Email & Phone Number

Summit, Nj

Lead, coordinate and supervise SGH's compliance department. Director for firm's cybersecurity, anti-money laundering, and privacy compliance operations.

Jersey City, New Jersey

Implemented and managed the regions' supervisory infrastructure and compliance program which covers approximately 2500 advisors. Directed a centralized supervisory team as well as branch compliance managers across the country to ensure company standards were met and complete adherence to regulations. Intermediary between the compliance department and the field offices for all supervision. Led committees/calls regarding new supervisory procedures updates as well as creation and implementation. Coordinated annual required training program and authored various training courses. Supervised and collaborated with branch managers through various high risk escalations such as surveillance inquiries, heightened supervision, and disciplinary matters. Updated Chief Risk Officer and Chief Sales Officer on all high level supervisory matters in the territory.

Axa Advisors

Reported to Chief Controls Officer and operated as a compliance manager for an OSJ that supervises branch managers and registered divisional employees. Assist in the training and implementation of new procedures for branch compliance managers.

New York, New York

Conducted complex on-site compliance examinations at more than 25 general agency offices. Investigated reported noncompliance issues and recommended subsequent action to senior leadership. Performed follow-up examinations of locations with unsatisfactory compliance reviews. Responded to compliance-related questions from management and agency representatives.

Paramus, Nj

Supervised financial professionals and managed the firm’s daily operations. Responsible for monitoring and implementing all new FINRA and State regulations. Investigated compliance concerns; reported findings and delivered recommendations to management. Delivered and authored Annual Compliance Meeting presentation. Coordinated various aspects of new account approval and on-boarding process. Maintained all books and records requirements.