Mark Justin Email and Phone Number

Built and lead program for broker/dealer supervision of up to 100 representatives registered with BNY Mellon Securities Corporation working with the Cash Management Access Account (CMAA), a self-directed brokerage account available to Private Bank clients. Spearhead compliance, controls, training, and risk assessment. Manage 2 Regional Supervisors. Partner with the Head of BNY Mellon Wealth Management Compliance and Chief Compliance Officer of BNY Mellon Securities Corporation. • Safeguard compliance with pertinent rules and regulations by maintaining up-to-date knowledge of FINRA and SEC developments and advising colleagues, leadership, technology team, and marketing. • Achieve consensus about policy or product decisions by mediating between brokerage and banking compliance teams.• Regularly produce and present operational, risk and compliance updates to President of BNY Mellon Securities Corporation and senior leadership.• Strengthened supervision of CMAA program by designing and documenting all controls and procedures; streamlining reporting and meeting processes; and introducing comprehensive compliance training.• Ensured consistency of key procedures for internal audit by developing a procedures dashboard for representatives and for supervisors.• Developed subject matter expertise on data use, brokerage accounts, and broker/dealer compliance.

Directed regulatory compliance processes and reporting for operations, key business initiatives, and internal client service initiatives of global division. Managed governance reporting to regulators. Led national Compliance Advisory Team of 8+ on reporting and risk assessment initiatives.• Enabled Global Wealth and Investment Management to serve clients better and manage business more effectively by providing compliance-related advice and guidance.• Increased capacity of entire branch office network to meet compliance requirements by initiating and producing regular and ad hoc publications and communications about regulations and compliance.• Created resources for and trained Compliance Advisory Team on regulatory compliance and reporting tools and technology.• Drove preparation of business executives and their teams for discussions with regulators.• Facilitated smooth transition of Merrill Lynch to Bank of America ownership, including developing mechanisms to introduce Merrill Lynch services to BofA customers.

Improved compliance profile for territory and reduced operational risk, by advising up to 100 Administrative Managers and Complex Managers on range of issues including hiring and regulatory changes and their implications.• Initiated changes and revisions of policies and procedures to mitigate risk and meet requirements.• Facilitated development of systematized hiring practices within territory.

Spearheaded risk management and compliance for the NYC Region’s 5 branch offices. Supervised 8 Administrative Managers. Facilitated sharing of best practices.• Met highest standards of compliance through training, process improvement, and regular risk assessment and corrective action. • Facilitated implementation of technology for risk management and compliance as member of National Administrative Manager Technology Leadership Council. (2004 – 2006)

Oversaw administration for flagship Fifth Avenue complex in NYC, encompassing 190 Financial Advisors. Resolved client complaints.• Rolled out comprehensive risk management and compliance program across complex. • Secured solid internal compliance audits for each of 3 years.