Mark Wesley Email & Phone Number

Charlotte, North Carolina, United States

Charlotte, North Carolina Area

Charlotte, North Carolina Area

• Evaluate and assess all transactions to ensure business, compliance and regulatory requirements are met• Streamlined transaction review process which slashed review time by 36%• Create and update policies and procedures to streamline transaction reviews• Analyze and approve accounts and trades to ensure they adhere to regulatory and firm guidelines• Research and resolve calls received from advisors and internal departments involving suitability• Coach financial advisors on sales and risks in order to mitigate business risk• Train staff on new business policies and procedures • Responsible for properly documenting suitability reviews• Maintain my personal productivity in the top 5% of all principals on my team.• Selected to become a member of an advisory committee that created and implemented new procedures for reviewing higher risk transactions resulting in faster processes times for all annuity reviews.

Charlotte, North Carolina Area

• Performed surveillance of trading activity and other activities of Financial Advisors• Ensured that financial advisors are meeting the requirements set by regulatory agencies and the firm• Proactively identified potential issues and lead investigations of questionable sales activity • Provided compliance guidance and support to financial advisors and staff• Worked directly with advisors, assistants and Governance, Regulatory & Compliance (GRC) team members to identify issues, improve processes, propose policy modifications, and resolve complex regulatory & compliance issues in a fast-paced environment where details, credibility, and relationships with producers and their staff members were paramount.

Charlotte, North Carolina Area

• Created and was responsible for the OSJ• Responsible for testing of compliance and exception reports to minimize risk for the OSJ• Educated advisors regarding communications with the public• Conducted internal investigations of financial advisors • Monitored and ensured compliance of emails• Managed updates of regulatory, industry and firm standards• Reviewed Outside Business Activities/U4’s for financial advisors recruited to the OSJ• Trained brokers recruited to the OSJ

Charlotte, North Carolina Area

• Managed a team of operational analysts who provided support for financial advisors • Designed a complaint management system which decreased the number of complaints by 23%• Responsible for handling multiple projects ensuring they are completed accordingly• Streamlined the new account process which decreased the time to open new accounts by 42%• Improved process of compliance and customer account review systems to ensure consistency across firm• Led investigations of questionable sales activity of institutions and retail accounts• Facilitated branch exams with FINRA, CFTC, SEC and state regulators • Addressed and responded to regulatory requests and sales practice inquiries• Supervised 25+ financial advisors for compliance with FINRA, SEC and firm regulations• Monitored matters related to ethical business practice, risk management and regulatory compliance• Actively participated with testing and updating firm policies regarding product offerings and compliance• Developed relationships with regulatory agencies to ensure proper guidelines were followed by the firm• Project management of complaint prevention by implementing new protocols • Determined suitability for clients requesting options trading