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@freestonecapital.com
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Jesse T. is listed as Compliance Consultant based in Seattle, Washington, United States. AeroLeads shows a work email signal at freestonecapital.com and a matched LinkedIn profile for Jesse T..
Jesse T. previously worked as Senior Compliance Officer; Director at Freestone Capital Management and Senior Compliance Officer - Portfolio Surveillance Manager at Parametric.
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• 27 year business career, of which 24 of those years were in the securities industry. Of those 24 years I’ve spent eight years at Parametric, five with Rainier Investment Management and 10 at Safeco Life Insurance Company• Passed the National Regulatory Service’s Investment Adviser Certified Compliance Professional® (IACCP®) program, which relied heavily on an understanding of the Investment Advisers Act of 1940• Experience managing people and programs, including the entire portfolio surveillance program in Parametric’s Seattle office• Experience handling compliance requests from sub-advised and separate issue advisory clients; such as reporting on soft dollar commissions, 17e-1 and 10f-3 transactions and any violations of client guidelines and restrictions• Experience performing suitability reviews and approvals of variable insurance, mutual fund, stock and bond trades, and also advertising, sales literature and correspondence pieces• Experience taking multiple projects through to completion
Listed skills include Mutual Funds, Sharepoint, Securities, Investments, and 6 others.
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Seattle, Washington, United States
Freestone is an independent wealth advisor to select high net worth families and institutions with offices in Washington and California. We provide a personalized experience combining rational, intelligent advice and sophisticated investment strategies. To learn more about Freestone, please visit our website at www.freestonecapital.com.
Seattle, Wa
• Compiled all compliance requests for sub-advised and separate issue clients, i.e., monthly/quarterly compliance packets, due diligence questionnaires and 15(c) annual renewal questionnaires• Assigned the auditing of a portion of the firm’s policies and procedures on an annual and semi-annual basis• General oversight and maintenance of third-party automated compliance reporting tool • Managed the assembly and filing of the following SEC filings: 13F, 13G and 13H• Worked with CCO to gather, review and create annual and periodic updates to Form ADV parts 1 and 2• General oversight of all registered representatives in the office and liaison with broker/dealer registered with; regarding U4s, U5s, continuing education, annual compliance meetings and quarterly gift logs• Main compliance contact for all clients
Kirkland, Wa
• Processed all accounts payables/receivables• Managed corporate credit card accounts by monitoring balance and activity, paying account balances and maintaining proper books and records for audit purposes• Worked closely with Allyis account managers to ensure all billable staff were properly reporting their hours and to monitor client purchase order levels to make sure that all work completed was billable• Managed all finance department requests/communications
Bellevue, Wa
• Managed accounts payable/receivable, monthly billing, payroll and bank deposits; reconciled statements/accounts and postings to the general ledger and journal entries• Ensured compliance with federal, state and local rules, legislation and guidelines related to financial functions
Redmond, Wa
• Conducted suitability review and principal approval of VA, VUL and mutual fund advertising, sales literature and correspondence created by marketing department • Filed advertising pieces with NASD (now FINRA)• Worked with NASD and marketing department on reaching compliant solutions on all pieces reviewed
Redmond, Wa
• Conducted suitability review and principal approval of VA, VUL, mutual fund, stock and bond business submitted by our independent registered representatives • Researched and resolved customer complaints • Managed Web CRD daily account for broker/dealer• Created notification program and managed daily operations of regulatory element of continuing education programs for 800+ registered representatives • Researched vendors, helped with selection process and managed daily operations of firm element of continuing education program for 800+ registered representatives• Reviewed Annual Compliance Questionnaires, branch audits and inspections• Created procedures/guidelines to ensure all state insurance licenses were current
Quick answers generated from the profile data available on this page.
Jesse T. is listed as Compliance Consultant.
AeroLeads has found 1 work email signal at @freestonecapital.com for Jesse T..
Jesse T. is based in Seattle, Washington, United States.
Jesse T. has worked for Freestone Capital Management, Parametric, Rainier Investment Management, Allyis, Inc., and Bluecrazy, Inc..
You can use AeroLeads to view verified contact signals for Jesse T., including work email, phone, and LinkedIn data when available.
Jesse T. is listed with skills including Mutual Funds, Sharepoint, Securities, Investments, Project Management, Finra, Process Improvement, and Content Management.
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