Jeff Press, Crcp™ Email & Phone Number

Portland, Oregon Metropolitan Area

Senior Regulatory Compliance Professional at CRC, with over 25 years of deep and varied expertise in Compliance, Risk and Operations programs from build out, to gap analysis, to lights on optimization and maturity. With expert knowledge of the practical application of financial services regulatory implementation and best practices, he formulates and executes a strategic vision that effectively demonstrates proper controls supporting business initiatives while helping to protect the enterprise from legal and regulatory risk. Jeff has broad industry experience in Operations, Risk, Compliance, Exams/Audit, and Governance.

Portland, Oregon Area

• Facilitate member meetings and events by creating agendas, leading and moderating discussions on regulatory matters and sourcing educational speakers and programs• Create and prepare educational material on the industry’s emerging and current regulatory topics to support membership needs and enhance educational resources• Develop new professional relationships in the financial services community to both grow the organization and cultivate speakers and sponsors for Association events

Portland, Oregon Area

Templar Shield is a premier information security, risk and compliance technology professional services firm and VAR.

Portland, Oregon Area

Bumped is a Fintech company that partners with brands to give their customers fractional shares of stock, turning loyal shoppers into shareholders. I lead the development and execution of the compliance program during the NMA, as an active BD and managed the complete first exam process with superb results.

Portland, Oregon Area

Responsible for driving risk management within assigned regional territories. Provides training, strategic leadership, and results management over diverse risk disciplines and functional areas that comply with all SRO, federal/State regulations and laws.

Lake Oswego, Oregon

• Audit and re-engineer 38a-a & 206(4)-7 Compliance Program for RIA and private funds business• Draft 206(4)-7 Annual Review, design Compliance Calendar and Risk Management program• Prepare and file regulatory filings Form ADV, Form PF, Form D, Form U4/U5 via IARD/Web CRD• Design / execute surveillance activities (communications, personal securities, conflicts of interest)• Coordinate, participate in development of and review for approval of advertising• Anti-money laundering red flag reviews, 314(a) requests, SAR filing and Regulator point of contact

Portland, Oregon Area

• Identify and monitor trends in internal and external (regulatory/industry) environments and assess their impact on the organization. Develop, communicate, and document compliance policies and procedures compliance policies in response to changing regulations and financial industry trends.• Perform in depth supervisory system testing and risk analysis as part of SEC 206(4)-7 and FINRA 3130 annual certifications.• Define continuing education needs analysis, develop curriculum and deliver both live and remote training on both individual topics and annual compliance meeting scale for audiences as large as 100 people.• Develop and implement tools such as compliance calendars, testing, risk matrixes, process templates for 206(4)-7 annual review, branch inspections, surveillance and evidence of review records, gifts and entertainment reporting, Compliance Department file structure to ensure timely and complete access to records likely to be requested by a regulator.• Responsible for FINCEN AML response process.• Review FOCUS and other reports/filings, create and enter filings at firm and representative level via IARD and WebCRD systems as well as act as designated contact with state regulators.• Review advertising materials (print, web, mixed media) to ensure adherence with regulatory requirements and act as review team business partner by enhancing review tools and processes.• Develop program and perform required surveillance including personal securities, OBA, social media, electronic communications, pay to play, Form U-4 accuracy and branch inspections.

Greater New York City Area

• Gap analysis of FINRA and SEC supervisory control system, policy creation and implementation.• Enhance sales suitability (KYC) review process and documentation.• Electronic communications surveillance and reporting.• Lead for customer complaint review and response and filing via FINRA Gateway.• Perform Anti-Money Laundering Red Flag reviews, 314(a) requests and SAR filings• Branch management functions for two B/D and RIA office (training, staff management, operations)

Consultant, Stanford Financial SEC Investigation & Receivership• Performed forensic compliance examination of Compliance Program across B/D, RIA, precious metals and foreign securities business lines, aiding in SEC investigation process.• Drafted, directed and staffed compliance and operational processes while in receivership status.Consultant, Platform Migration Citi & Pershing• Provided detailed analysis & mapping of compliance rules engine and supervision functions between various systems inclusive of Actimize Case Manager and legacy mainframe functionalityConsultant, Life Insurance and Market Research Association (LIMRA)• Perform branch office exams for multiple firms nationwide using a wide variety of methodologies.• Provided best practices, recommendations and remediation strategies to wide variety of partners and business types, inclusive of retail, RIA and insurance business lines.

Greater New York City Area

• Created and reviewed surveillance metrics reports reducing regulatory risk and streamlined Suitability Review System rules engine for greater efficiency in application/trade review• Coordinating role with portfolio management team to build exception reporting capability for annuity trading accounts to manage within investment policy statements• Drafted compliance procedures in step with industry best practices and regulatory hot topics• Performed Audit Manager function for AXA Group worldwide Risk Management program, identifying and quantifying deviation from procedures. Supervised 7 auditors in this function• Developed and implemented action plans to abate regulatory, operational and litigation risk to the firm while streamlining for greater efficiency• Increased utility of electronic communications surveillance 57% via implementation of keyword lists and smart review methodology. Managed communications surveillance and retention strategies for field agencies and Registered Investment Advisor firms• Performed Project Manager role for FINRA 3010 & 3012 certification across large firm• Managed FINRA Firm Element and other training processes (content creation & management)

Bs, Finance

C.R.C.P., Law

The C.R.C.P. is a three year Certificate program by the Wharton School of Business in conjunction with FINRA. There are less than 1000.

Aa Liberal Arts, Finance