John Cullinane Email & Phone Number

Middletown, Nj, Us

485 Madison Avenue

Senior Managing Director/ Partner• Manage compliance programs for approximately 20 broker-dealers• Develop and update procedure manuals, including:o Written Supervisory Procedures, Anti-Money Laundering Procedures, Business Continuity Plans, Firm Element Training Programs, etc.• Conduct annual compliance meetings for broker-dealer clients• Managing Regulatory Examination programs.• Facilitate New Membership Applications (NMA) and Continuing Membership Applications (CMA) for clients.• Create, and manage the compliance program for broker/dealers, state and SEC Registered Investment Advisors.• Perform supervisory controls testing in accordance with FINRA Rules 3120/3130• Perform supervisory reviews of personal trading and email• Review Marketing Materials/Advertisements for compliance with various rules• Licensed FINRA Representative at certain clients:o IIFL Capital Inc. and IIFL, Inc.,- 15a-6 chaperoning Broker and affiliated SEC RIA- Chief Compliance Officer o Rice Financial Products – Municipal Broker - General Securities Principalo Barclay Investments Inc. – Fixed Income - General Securities Principal

Directed, motivated and supervised team three Divisional Compliance Managers and six Sales Practice Analysts in reviewing active accounts, preparing FA profiles, and analyzing retail and institutional account activity.Facilitated monthly calls with respective regional management teams to discuss and appropriately respond to compliance-related matters and trends.Provided referrals or guidance concerning compliance matters to firm's Special Supervision Committee.Thoroughly analyzed potential disciplinary matters and decisively drafted letters of reprimand for issuance by branch management when required.branch office supervisors and financial advisors on sales practices, operational processes and regulatory rules and regulations.Authored and updated internal compliance policies and procedures as needed. Reviewed and proficiently responded to regulatory examination reports and inquiries.Trained and educated regional and branch office management in firm and/or regulatory compliance rules and policies.Managed Plans of Solicitation (POS), Blue Sky, and Stock Option Plan units (SOPT) within Sales Practice Unit for first two years in role.Applied dynamic leadership talents toward managing and motivating staff of 25 analysts and direct Integration Team in resolving surveillance issues for legacy Smith Barney and Morgan Stanley channels. Created and administer cross-training program for legacy Smith Barney analysts to prepare them for transition to regional surveillance model.

Meticulously conducted comprehensive examinations of member firms' supervisory standards and sales practice procedures to ensure compliance with NYSE and SEC criteria. Scrutinized firms' anti-money laundering program, investigated customer complaints, and presented findings to senior management of member firms. Facilitated annual week-long Sales Practice Training Class to train new hires.Integral player of 2002 examination and discovery of a registered representative in Ohio found to have misappropriated $100M+ by creating false statements and forging customer signatures on letters of authorization.

Leveraged considerable knowledge of regulatory requirements to conduct examinations of member firms focusing on Trading/Market Making, Mutual Funds, Options, Equities, Corporate Debt, Private Placements, Underwritings, and Municipal Securities.As Core Examiner for 20+ member firms, responded to extensive inquiries regarding rules, regulations and procedures of NASD.

Successfully completed cross-training across the operations spectrum: Margin, Comparisons, Purchase and Sales, and Delivers and Receives, and Equity Trading, and played an active role in driving profitable and compliant operations.