Regulatory Risk Management, Legal Liaison
Current- Interpret and apply FINRA, SEC and state regulations to business practices, evaluating risks and proposing alternative strategies- Oversee collection and analysis of data to detect deficient controls, inefficiencies, fraud or non-compliance with laws, regulations and management policies- Produce detailed, clear, concise narratives based upon extensive research and analysis to support Potential Suspicious Activity Reports (PSAR) for regulatory filings- Provide support to the in-house counsel, Analysts, Team Leads and SME's to assist with the understanding of a Risk-Based Approach - Conduct the review of legal agreements, such as Trusts, Powers of Attorney, Corporate Resolutions, Divorce Decrees and QDROs- Performs in-depth research to respond to court orders, summonses, subpoenas, warrants, levies and bank assignments in addition to escalated inquiries from clients, broker-dealers and attorneys- Assist associates with processing mutual fund and life insurance transactions by developing detailed dispositions supported by the thorough collection of legal documentation - Partner with all levels of management, compliance, and registered representatives to provide strategic resolutions that minimize company liability- Execute and file digital and written reports from regulatory agencies, attorneys and broker-dealers, ensuring timely submissions
