Lara Gillett Email & Phone Number

New York, Ny, Us

New York, Ny

Officer level position created to lead cross-enterprise efforts to coordinate the compliance strategy, implementation, and ongoing support efforts of best interest and standard of care regulations.Oversee large-scale projects to comply with significant regulatory requirements as well as be the primary interface aligned with key business partners on a day-to-day basis. Play a key role in providing ongoing updates to leadership teams and field representatives through in-person and virtual meetings.

New York, Ny

Responsible for broker-dealer Compliance Manual, including creating compliance policy and outlining representatives’ and supervisory obligation. Manage compliance training program, including creating Firm Element curriculum and Annual Compliance Meeting. Create and deliver ad-hoc training courses, as needed, on varied topics. Manage financial exploitation and elder abuse cases, including reporting to applicable authorities, and coordinating any account restrictions with other departments. Work as a liaison between the field offices and the home office on any issue, which may include licensing issues, record keeping procedures, or providing guidance to the Agency on a particular subject.

Trained Coach

Ba, Social Ecology

Certified Regulatory And Compliance Professional (Crcp)