Mallory Root Email & Phone Number

Rochester, Ny, Us

Rochester, Ny

Greater New York City Area, Boston, Sarasota, Rochester, Ny

Provides hand-on financial compliance coaching to meet today's regulatory needs assisting Compliance departments meet their objectives.• Preparation of Continuing Education Program and Compliance Training Classes• Preparation and Reviews of Written Supervisory Procedures and Business Continuity Plans• Conduct Email Reviews• Regulatory Examination Preparation• Conduct Branch Reviews• Independent Anti-Money Laundering Services• Broker-Dealer Startup Services/Investment Advisory Registration Services• Licensing and Registration Services • Conduct Compliance Testing and Internal Reviews• Conduct Specialized Compliance Reviews (Email, Outside Business Activity, Brokerage Accounts, Social Media, etc.)• Conduct Advertising and Marketing Reviews• Conduct Specialized projects for Clients faced with compliance deficiencies• Assist Clients in preparation for implementing new regulatory rules.

Greater Boston Area

Auditing and Compliance• Liaison between the Firm and FINRA, SEC, State and any other regulatory body. • Primary contact and resource to Personnel regarding licensing and registration inquiries.o Process and maintain all Form U4, U5, BD Amendments, Form BR and any other updates necessary to the FINRA Contact System. • Primary resource for specialized regulatory filings including but not limited to 4530, Advertising, Financial and Continuing Membership Agreement Filings. • Maintain and review all FINRA Reports including TRACE – T+1 Compliance reviews. • Mitigate risk by monitoring, detecting and escalating registered representative behavior. These include but are not limited to: Outside Business Activities, Personal Trading, E-Mail Review. • Conduct internal investigations of any customer complaints, possible complaints, internal violations or registered representative behavior. • Maintain and complete the Equity Research & Sales division Compliance Testing program. • Maintain and complete CIP documents for all Institutional Equity Research Readers.• Maintain and complete Research Consultant’s on-boarding process. • Assist in maintain the Blue Matrix System, for all equity research notes. • Maintain and ensure all Equity Research & Sales Divisions documents are in accordance to Books & Records regulatory rules. Communications• Regulate and test social media policies of the Firm.• Assist in approval of all advertising and website material.• Assisted in creating Firm wide brochures and website content. Company Internal Development• Built and managed the firm’s Continuing Education program and annual compliance meetings: • Project Manager for regulatory examinations & legal proceedings. • Lead contact and source for Firm’s conversion of E-Mail Archiving providers. • Co-managed the development of policies and procedures. • Managed and organized the compliance calendar with respect to FINRA and the SEC, and all filings

Greater Boston Area

Responsible for the independent oversight and monitoring of Trust Administration, Investment Analytic, Investment Operations, Client Reporting/Trust Accounting, Gifts, Tax/Estate and the IT departments.Identified risk and controls and then assist with the design and ultimate execution of a compliance testing program in the following areas:- New client accounts - Receipt of client assets into custody systems- Client distributions- Client Investments- Client Reporting- Closing of Client Accounts- Various activities designed to fulfill regulatory requirementsExecuted Social Media Monitoring Program of all trustees on a quarterly basis.

Boston

Auditing and Compliance•Primary resource to employees for licensing and registration inquiries o Processed all Form U4s, U5s, BD amendments, BRs and any updates necessary to the FINRA Contact System.o Notify and monitor employees of FINRA continuing education requirements.• Consulted several Private Fund Firms in the Boston area in becoming a registered SEC Investment Advisor. •Prepared materials and information needed for internal audits and/or state/federal regulatory examinations.•Provided assistance to the General Counsel by preparing/answering complaints, motions, subpoenas, orders, or other hearing and/or trial documents accurately and in proper format. •Created a compliant-investigation docket for each regulated entity. Assisted with discovery, mediation and/or arbitration hearing preparation, as well as be the liaison between the firm and outside counsel. Communications•Organized media interviews for research analysts to MSNBC, CNBC, and other media outlets. Managed press releases and coordinated press inquiries from the public.•Assisted in approval and review process of all sales marketing pieces. Filed these materials with FINRA.•Developed and implemented the social media policy.•Managed website redesign project.Company Internal Development•Built and managed the firm’s Continuing Education program and annual compliance meetings: researched topics, prepared presentation materials, created quarterly questionnaires for registered reps, and managed follow-up questions.•Co-managed the development of policies and procedures for each entity. Provided staff-wide training for 40+ staff members•Developed Monthly Supervisory Reports that included updates on Firm policies, regulatory matters, and compliance action items. •Managed and organized the compliance calendar with respect to FINRA and the SEC, and all filings that pertained to each regulatory agency.

Greater Boston Area

•Assisted in planning of annual fundraisers, generating over $1.25 million. Responsibilities included overseeing direct marketing and managing the production and dissemination of printed materials.•Worked with a high profile volunteer committee to solicit business contributions, raising $60,000 in silent auction in-kind contributions.•Developed silent auction catalogs for largest fundraising event.•Optimized press releases by developing a new marketing and press contacts database to support events outreach and general operations.•Wrote press releases and developed a marketing and press contacts database to support events outreach and general communications.•Developed and maintained the agency’s social media marketing platforms. Increased the Facebook and Twitter presence over 25% to over 4,500 followers and fans, and became the top trending topic in Boston on multiple occasions.•Recognized, obtained and retained new audience segments by way of social media marketing, including creating Twitter/Facebook contests that reflected agency events. Developed a monthly communications schedule, etc. •Presented a bi-weekly social media marketing analytic tracking document to agency’s staff.•Created and implemented a social media Handbook for the agency.•Tracked and processed donations with donor software.•Website development

·Responsible for creation and implementation of store marketing and promotions including e-mail campaigns, fashion and trunk show events·Oversee business operations and management of the store including invoicing, management of inventory and processing special orders·Assist in purchasing new season’s clothing and accessories line

·Coordinated and executed all station remote broadcasts, appearances, concerts and charitable community events according to strategic objectives·Conducted on-site marketing promotions including contests and distribution of client/network promotional materials·Documented the events and conducted client/listener interviews·Developed a presence for the radio station through popular social media networks such as Facebook and Twitter that enabled listeners to interact with the station and served as an extension of on-air contests

Rochester, Ny

·Reported to the Vice President of Marketing and assisted in various aspects of the marketing department·Planned promotional events that were part of the department’s overarching strategy·Developed marketing demographics for new shows that found audience ages, their purpose for viewing, and the target audience which helped in development of future advertisement campaigns.·Developed an informational company website for viewers·Reviewed Traffic Logs to ensure the scheduling of commercials in the appropriate time slots and prepared commercial playlists to be used as contingency plans·Successfully executed various aspects of day to day administrative work including managing the front desk, processing mail and scheduling meetings and presentations