Lisa Tracy Email and Phone Number

•Reviewed and assessed policies, procedures, and other documentation of potential new Partners to determine risk mitigation needs for onboarding as well as ensure they are complying with appropriate FINRA and SEC Regulations•Spearheaded and delegated to SMEs as appropriate Request for Production requests from Partners to fulfill the Firm’s duty as a Vendor•Provided support for Regulatory Inquiries and necessary documentation needed for Regulatory Audits•Reviewed and provided final compliance approval on communication with the public, including social media posts and email communication.

Oversight of business unit operational activities to ensure adequate supervision and compliance with policies and procedures• Serve as the primary relationship manager between Retail Risk Management and Supervision and the supported business unit; support relationships with a specific focus on operational and regulatory subject matter expertise• Assist in various levels of business unit training and coaching efforts• Deliver reporting of trends, concerns, and common issues to management for problem solving

• Assess client relationships on the basis of reputational and financial risk to determine the possible liability of maintaining the relationship• Determine causation of events which caused a loss of money to the Firm and ensure procedures to prevent potential repeat of the event• Review processes which may increase key risk indicators and determine how to streamline/update those processes to remove unnecessary risk• Perform risk analysis to ensure appropriate supervision controls are planned for prior to a new product going to the Product Review Committee

• Promptly managed, logged, and fully resolved client complaints defined as reportable under FINRA Rule 4530• Prepared accurate and complete case files detailing every aspect of incoming reportable complaints for report out to Executive Management, possible audit, and/or arbitration defense• Represented and acted on behalf of Executive Management to quickly resolve and summarize business-specific escalations sent directly to their attention• Mitigated regulatory, financial, and reputational risk by reviewing client/associate interactions• Acted as a senior escalation point for team managers who requested assistance with client situations

Futures, Forex, and Tax question fielding. Create and deliver training for new hires and cross training.Create FAQs useful for internal clients. Principal approve new Futures and Forex Accounts.Field Tax questions related to Futures, Forex, Option, and Equity Trading.Create and deliver live tax chats for clients logged into the thinkorswim platform

Incoming phone calls regarding IRA and QRP accounts, cross sale and business lead referral

Process distribution, contribution, removal of excess, and recharacterization requests for clients