Karen Arthur Email and Phone Number

Manage the firms continuing education program, cash/non cash program as well as being responsible for review and approval of all advertising and sales literature. Review consolidated statements on a monthly basis using the Albridge system.

Responsible for review and approval of advertising/sales literature including seminar material, websites, investment company material, institutional sales material, correspondence and email review of 600 representatives to meet all regulatory requirements of the firm. Submit material for FINRA review and interpret comment letters. Ensure that all marketing materials are processed, filed, recorded and maintained according to internal and regulatory policies.Review and approve representatives outside business activities as well as update Form BR and U4 via the Web CRD system.Represent the Compliance Department as a member of the Transition Team acting as the main contact for questions to assist new representatives when they join the firm. Supervise and support investment representatives to help ensure they follow the firm's supervisory procedures and industry regulations.Work closely with representatives during National Conventions and Symposiums in the form of presentations to educate them on the importance of FINRA Rule 2210 - Communications with the Public.

Open new accounts, obtain required information, verify accuracy, and enter into system. Set up and maintain related files and documentation.Take and/or enter customer orders via SIS/Back office system to exchanges and trading room at request of broker or customer.Check reports and trade confirmations on past transactions to determine accuracy identify any discrepancies and resolve problems.Perform duties such as type correspondence and documents, answer telephones and take messages, make travel arrangements, mail printed materials, file, maintain reference books and materials.

Responsible for processing, monitoring, and completing asset transfers from outside brokerage firms and mutual fund companies.Assist Registered Representatives through telephone inquiries opening new brokerage accounts, account transfers and trade services.Act as transition coordinator for new Representatives transitioning from other broker/dealers and give them one on one service on how this is done.Peer train new employees in departmental procedures and policies.Work closely with managers during quarterly conferences used to train Representatives' Assistants.