Jason Ungles Aams® Aif® Email & Phone Number

Denver, Co, Us

St. Petersburg, Florida, Us

◆ I monitor the fiduciary and investment advisory activities of branch managers and/or IARs through the use of various reports and systems.◆ I ensure compliance with applicable industry rules (e.g. State, FINRA & SEC) and platform policies and procedures as they apply to account trading activity of branch managers clients’ accounts by monitoring branch manager activity, reporting findings and managing concerns in a professional and educational manner.◆ I interface with specific business platform sales management associates to inform them of any supervisory concerns that may arise with branch office managers and/or IARs and work together with them to address these concerns as well as to resolve any conflicts that may arise related to client accounts of the branch managers. ◆ I monitor and keep up to date with securities/advisory regulations and applies them accordingly.◆ I interpret, apply and recommend changes to organizational policies and procedures. ◆ I often consult independently with branch managers and/or IARs and recommend actions to ensure compliance with existing rules and regulations as well as prevent potential liability.◆ I utilize financial data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. I identify trends and assist with implementing corrective action as necessary.

New York, New York, Us

Westlake, Texas, Us

◆ I managed complex projects, such as the key Heightened Supervision of Complex Products initiative, to expand educational resources, increase risk awareness, and enhance portfolio review tools.◆ I successfully saved costs ($150K or 64% yearly) by streamlining delivery approaches and establishing new client contact standards and coordinating cross-enterprise to analyze and improve annual forms and regulatory disclosure documents.◆ I used my expertise to supervise key processes and procedures and proactively anticipate/prevent issues and concerns.◆ By designing and leading highly visible, cross-enterprise, firm-wide projects, I minimized potential business risks. ◆ I drove project success by communicating effectively with staff and management in clear, concise language.◆ Leveraging new technology, I strengthened and modernized workflow designs for ongoing programs and processes.◆ I also reduced client communication costs by implementing and coordinating a new system and proactively monitoring, learning, and applying all related industry standards, guidelines, and regulations.◆ My team proactively identified operational risks to develop needed solutions and mitigating controls.◆ To lower fiduciary risk gaps, I led global teams to develop program appropriateness processes.◆ Even in a fast-paced environment, I consistently met or exceeded ambitious timeline, quality, and client satisfaction standards.

Westlake, Texas, Us

◆ I performed portfolio delivery, public communications, offer appropriateness, and InSight reviews.◆ Using my industry knowledge and hands-on expertise, I advised on $230 million in client assets under Investment Adviser Act of 1940 fiduciary standards. ◆ I regularly engaged in face-to-face prospecting, business development, offer growth, and asset retention to develop portfolio/asset allocation strategies for high net worth individuals, families, and institutions. ◆ I performed effective communication and comprehensive portfolio construction duties in coordination with management, IT, and investment teams.◆ I excelled at portfolio construction, management, reporting, trading, and more financial operations.◆ To rebalance, re-allocate, and improve risk/returns, I proactively monitored portfolios for opportunities.◆ I regularly answered clients questions about portfolios, financial markets, and account opening/funding.

Westlake, Texas, Us

◆ I supervised and oversaw staff members to ensure strategic and tactical performance and complete complex risk assessments, internal audits, and regulatory reviews.◆ By partnering with principal advice providers, I ensured adherence to corporate plans of supervision.◆ Using excellent decision making and judgment skills daily, I analyzed advice, trading behaviors, and trends by developing first standardized supervision reporting tool.◆ I also used industry knowledge and expertise to guide on relevant firm policies and procedures to ensure trades were executed and confirmed in accordance with strict policies and procedures.◆ Finally, I successfully designed, implemented, and facilitated training for day trading rules and procedures.

Westlake, Texas, Us

◆ As team leader, I motivated a staff of 12 through performance evaluations, goal setting, and career development.◆ I successfully designed, created, and deployed highly successful corporate centralized supervision model.◆ By proactively anticipating potential risk issues, I designed, presented, and implemented effective solutions.◆ Additionally, I developed team members with coaching, career mentoring, education, and motivational techniques.◆ To reduce the overall risk to the firm, I improved audit consistency and led meaningful improvements. ◆ I used enhanced coaching tools and resource sharing opportunities to grow employee engagement.◆ By collaborating with managers and leadership, I designed and completed cross-departmental projects and initiatives.

Westlake, Texas, Us

◆ I organized all areas of a successful internship program, including development, interviewing, and mentorship duties. ◆ I used the full range of trading capabilities to carry out financial market transactions for clients. ◆ To ensure accuracy, I constructed and performed systematic internal audit of departmental policies and procedures.◆ I proactively developed and utilized comprehensive financial plans and to ensure the best interest of investors.◆ Over the course of my years in the position, I grew and utilized an expert-level knowledge of investment, trading, and portfolio management.