Responsible for facilitating all Compliance aspects of the merger from Stone and Youngberg LLC to Stifel Nicolaus Manually updating all Stone & Youngberg employees CRD records to Stifel NicolausAssist Chief Compliance Officer with FINRA/SEC legacy Stone and Youngberg LLC inquiries and fulfillment of regulatory requirementsAssist Chief Compliance Officer on all open arbitration and legal issuesPoint person at Stone and Youngberg LLC to answer and advise all legacy employees’… Show more Responsible for facilitating all Compliance aspects of the merger from Stone and Youngberg LLC to Stifel Nicolaus Manually updating all Stone & Youngberg employees CRD records to Stifel NicolausAssist Chief Compliance Officer with FINRA/SEC legacy Stone and Youngberg LLC inquiries and fulfillment of regulatory requirementsAssist Chief Compliance Officer on all open arbitration and legal issuesPoint person at Stone and Youngberg LLC to answer and advise all legacy employees’ compliance questions and issuesAssist the Chief Compliance Officer with identifying and responding to all customer complaints and inquires.Conduct Branch Office inspections and Broker reviews.Conduct heightened supervision reviews of Brokers and assist in implementing policies Show less

Compliance Duties and Responsibilities•Responsible for all FINRA CRD registrations for the firm and employees (U4, U5, continuing education, state registrations, fingerprints, daily/weekly reports).•Conduct Branch Office inspections and Broker reviews.•Conduct reviews of client new account/option account worksheets information verse trading activity to ensure compliance with stated investment objectives and risk tolerance.•Review various FINRA data and internally generated… Show more Compliance Duties and Responsibilities•Responsible for all FINRA CRD registrations for the firm and employees (U4, U5, continuing education, state registrations, fingerprints, daily/weekly reports).•Conduct Branch Office inspections and Broker reviews.•Conduct reviews of client new account/option account worksheets information verse trading activity to ensure compliance with stated investment objectives and risk tolerance.•Review various FINRA data and internally generated reports to detect possible taxable and municipal fixed income trading issues. •Distribute quarterly G37 contribution reporting.•Responsible for Firm email review •Point person to communicate effectively with all branches of the company and clearing firm to ensure compliance and handle all customer/firm related problems.•Assist Compliance Department with FINRA/SEC inquiries and fulfillment of regulatory requirements.•Assist with conducting firm-wide Supervisory Controls Testing and verification of Written Supervisory Procedures, while continuously working with management.•Assist the Chief Compliance Officer with identifying and responding to all customer complaints and inquires. Show less

Operations Duties and Responsibilities•Responsible for processing and approving daily customer and firm trades of all security types: stocks, bonds, options, and mutual funds•Responsible for daily firm and client trade errors and account reconciliations as well as assist brokers in resolving account, delivery, and trade discrepancies.•Responsible for handling customer free deliveries, transfers, and incoming/outgoing customer account transfers •Receive and process all physical… Show more Operations Duties and Responsibilities•Responsible for processing and approving daily customer and firm trades of all security types: stocks, bonds, options, and mutual funds•Responsible for daily firm and client trade errors and account reconciliations as well as assist brokers in resolving account, delivery, and trade discrepancies.•Responsible for handling customer free deliveries, transfers, and incoming/outgoing customer account transfers •Receive and process all physical certificates of bond and stock.•Maintain positive communication with clearing firm to resolve all trade related and customer inquiries.•Act as the primary back-up resource for Operations Manager, Retirement Specialist, New Accounts Specialist, and Compliance personnel. •Responsible for all company cashiering duties (i.e. incoming/outgoing monies for firm, and client accounts in the forms of checks, federal wires, ACH withdrawals/deposits and journals between customer accounts). •Responsible for maintaining compliance for retail/Firm/institutional accounts with federal guidelines of industry standards in regards to AML and Reg T ( Cash Due, House/Fed call, Buy in notices, Short Positions, COD/Prime Broker DK and deliveries). Show less

•Processed loans and discloser packages•Transferred title and assets for retail and commercial loans