Mark Tomlin Email & Phone Number

Northbrook, Il

Operating and managing a tax consulting company specializing in individual tax preparation and tax planning. Strategize with clients to minimize tax liability while keeping them compliant with their tax obligations. Respond to client needs, questions and concerns as well as addressing new tax laws and legislation to ensure tax preparation accuracy. •Prepare and complete tax returns and provide analysis of tax implications pertaining to unique transactions..•Develop ongoing working relationships with clients and maintaining them over time.•Evaluate information provided during interviews with clients to determine whether events comply with laws, regulations or standards.

Supervised examinations of member firms by providing expertise and technical knowledge to assigned staff. Examinations included assessing member firm risk factors, compliance structure, internal controls, and financial condition. Reviewed examination work papers to determine quality and accuracy of examination file. Executed the national operational risk and control framework and implement risk governance and sustainable processes to effectively manage operational process risk, enterprise change and business resiliency risks. • Managed financial and operational examinations as well as investigation of customer complaints and Termination for Cause (supervision of examinations included on-site reviews).• Reviewed both examination reports and work papers to determine the quality, accuracy and adequacy of the documentation to support examination findings; evaluated assigned staff for ensuring completion of regulatory programs.• Managed relationships with member firms during the examination process.• Supervised the development and mentoring of examination staff at varying levels of expertise. • Approved over 200 investigations per calendar year; which included reviews of significant regulatory priorities covering business conduct and sales practices of mutual funds, structured products, non-traded REITs, exchange traded funds, variable annuities, private placements, and penny stocks.• Coordinated investigative committee meetings with District Enforcement attorneys to discuss strategy, merit, and status of high priority, formal action cases. Conducted on the record testimony in coordination with FINRA Enforcement Department.• Determined disposition actions of regulatory violations based on egregiousness, regulatory history, and potential harm to investing public and financial markets.• Approved investigative focus of examinations based on risk analysis and in depth planning meetings with assigned examination staff and Regulatory Coordinator.

• Evaluated applications related to structured products (equity-linked deposits, equity research, and private equity/debt.• Supervised the membership application process for admittance to FINRA membership and applications for continuing FINRA membership applications.• Approved over 200 membership applications involving mergers, acquisitions, asset purchases, ownership/control changes, and material business expansion of member broker/dealers.• Analyzed and evaluated new products to determine compliance with established rules and regulations.• Reviewed all new firm applications and may approve, deny or grant membership subject to appropriate business restrictions.• Evaluated firm’s supervisory system, complexity, scope and whether adequate financial and operational systems are in place.• Analyzed the viability of business plans, business structure, financial make-up, and daily operations.

• Prepared written reports and conducted exit meetings to effectively articulate complex regulatory concerns noted during exams.• Examinations included assessing member firm risk factors, compliance structure, internal controls, and financial condition.• Managed on-site regulatory audits of various businesses to evaluate compliance with FINRA, NYSE, SEC and MSRB regulations, and requirements.• Examined member organizations financial books and records to verify activities are in compliance with applicable rules and regulatory requirements.• Critically analyzed internal controls in key areas of risk, and evaluated systems used by member firms’ to determine quality and reliability.• Researched revenue drivers, products and associated risk within member organizations’ business to formulate and plan a risk based strategy to execute assigned examinations.• Routinely analyzed trading activity in area of primary responsibility for indications of potential activity in violation of regulatory rules and laws.• Communicated findings and related issues to senior management of FINRA, member organizations’ and other regulatory agencies, both verbally and written.