Contracts (Business, Entertainment), Business Organizations, Residential Real Estate, Intellectual Property (Copyright, Trademark)

Provided daily guidance and advice to executive management, branch management, sales and back office operations staff to resolve a broad range of compliance, operations and customer service issues.Revamped, developed and implemented policies and procedures, internal controls, standards and guidelines, to ensure continuous compliance with applicable SEC, FINRA and state rules and regulations.Provided guidance and expertise in handling transition to Investment Advisory platform with knowledge of 1940 Acts. Firm lead in SEC, FINRA and state regulatory cycle examinations.Internal surveillance, including trade monitoring and monetary transactions, and investigatory matters.Oversaw best execution reporting and mark-up/mark-downs of municipal bond transactions.Identified and mitigated compliance risks.Researched, resolved and responded to regulatory inquiries and reporting requirements.Assisted General Counsel in FINRA and SEC arbitrations, mediations and other legal proceedings.Researched and solved legal questions regarding state laws where branches are located to ensure compliance.Developed, implemented and tested policies, procedures and controls to ensure compliance with AML regulations.Conducted AML training, surveillance reviews and SAR investigations.Coordinated annual AML audit and supervised review of periodic FinCEN postings.Conducted regular compliance training for seasoned and novice registered representatives.Coordinated and developed Firm Element training program.Conducted annual compliance meetings and branch reviews at all branch locations.Investigated and responded to customer inquiries and complaints.Oversaw retail and proprietary transactions to ensure compliance with FINRA rules and firm best practice standards, including principal and agent municipal bonds and mutual funds.Consulted on advertising and marketing submissions.Consulted with Operations on clearance, execution and regulatory matters.

Manage operations and compliance for prominent Broker Dealer engaged in Market Making and Private Placements. Ensure trading, research and sales staffs follow procedural guidelines per FINRA and SEC requirements. Coordinate regulatory body examinations and respond to various FINRA requests. Maintain firm’s WebCRD information ensuring required filing dates are met. Maintain and test Disaster Recovery plan and oversee Written Supervisory Procedures. Coordinate Firm Element Training program and conduct annual compliance meeting. Address various compliance related issues such as AML/KYC, OATS, VWAP, 605/606, 3010, 3012, churning, production, electronic/physical correspondence, account documentation, trading reporting when necessary to regulatory bodies. First line of contact with clearing firm on all trading and customer issues. Supervise all trade operational issues, including system trade problems, breaks, proper account allocation, account processing and reporting. Direct all account monetary and security transactions. Resolve client related problems and handle customer complaints reporting to various parties when deemed necessary. Manage vendor contracts, payments, renewals and retentions. Assist firm counsel with various legal matters, specifically compliance, contracts, affidavits, and private placement memoranda. Direct contact with facilities management and technological tasks with building management.

Advised groups on appropriate forms of organization to accomplish their goals. Provided ongoing legal services in matters such as creation of corporate structure and by-laws; application for tax-exempt status; compliance with federal, state, and local laws; government filings; fundraising; advice on board and volunteer liability; restrictions on lobbying and other actions of the organization.

Promoted up the ladder at seventy-five year Broker Dealer and Investment Advisory Firm forming into newly created position. Addressed compliance related issues such as anti-money laundering, back up and retention of electronic/physical correspondence, proper account documentation and trading. Oversee all trade operational issues. Supervised three portfolio assistants and three administrative assistants. Resolved issues and problems with client accounts and clearing firm. Maintained in-house proprietary portfolio management system continuously updating and testing with Head Programmer/Analyst. Developed and routinely tested Disaster Recovery plan with third party vendor. Maintained technological endeavors and integrated new phone system, instant messaging platform and email program. Coordinated regulatory body examinations.

Assisted senior management to ensure efficient operational flow of firm.Addressed vendor issues and contracts, building management correspondence, client concerns/questions, office technology.Ensured managed accounts in in-house portfolio system and clearing firm were balanced and up to date.Filled need to alleviate the operational tasks of the firm from the directors into other capable hands.

Assisted two senior managing directors with their client investment advisory accounts.Kept up-to-date client investments and histories in in-house portfolio management system.Resolved client concerns or questions.Processed stock and bond trades through clearing firm.Kept updated spreadsheets of client histories.

Ensured smooth flow of various office matters including vendor issues and contracts and office technology, building management and security issues, coordinated interaction with external departments of Medical College, assure proper deposit of donor funds into earmarked departments of Medical College.