Mark Ringel Email & Phone Number

Florham Park, New Jersey

Florham Park, NJ

• Current responsibilities include:
• Conduct onsite annual Complex inspections.
• Conduct ongoing inspections of various internal departments, business and product lines
• Identify any procedural/control deficiencies and escalate them to the appropriate department heads for correction/enhancement.

• Worked closely with General Counsel, COO, CI O, CFO, HR Director to identify, assess and remediate compliance-related challenges.
• Designed/delivered the firm’s Annual Compliance Meetings.
• Designed/implemented system for drafting, distributing, updating, tracking & archiving the firm’s written supervisory procedures.
• Drafted firm’s written supervisory procedures including sales practices, regulatory reporting, AML, regulatory reporting, supervisory controls, public offerings, municipal bonds, structured products, Regulation S-P.
• Worked with Senior Management & IT staff to design/implement exception reports to assist staff managers.
• Served as firm expert on customer complaint regulatory reporting; worked closely with registered personnel to explain and ensure proper regulatory disclosures on Forms U-4, U-5 & insurance registration applications.

I worked closely with all branches and Trading Department recording and processing trade corrections / cancellations. In addition, I was asked by Management to devise new internal systems and workflow with our clearing firm allowing the firm to compare interdealer municipal bond transactions on an automated basis. Upon completion of that task, we became.

I was involved in the acquisition of new retail clients, identifying and selling appropriate securities to them and providing ongoing service.

Bachelor Of Arts, Communications, Arts And Sciences

Magna cum Laude

Academic, Academic