Mary P. Email & Phone Number

Kansas City, Missouri, United States

Liberty, Missouri, United States

• Serve as the company contact to the 401(K) administrator, accountant/payroll services, and employees • Communicate company 401(K) open enrollment periods and ensure all required documentation is provided to and maintained for the company and plan participants • Complete annual 401(K) filings with the plan administrator• Coordinate with accounting/payroll services on state and federal tax filings• Assist with payroll distribution• Oversee enrollment of eligible employees into the company’s health care plan• Invoice customers and process payments

Kansas City, Missouri, United States

• Maintained compliance frameworks, policies and documentation to support audits• Monitored compliance risk controls to identify deviations and offer recommendations• Monitored regulatory developments to communicate risks or opportunities to relevant groups• Planned and executed compliance audits to check that company policies, procedures, and controls were adhered to• Maintained and revised policies and procedures for general operation of compliance program• Reviewed branch office customer complaints and correspondence• Created annual required compliance training• Registered representatives in applicable states and opened regulatory exam windows using FINRA’s CRD system• CRD Account Administrator-responsible for filing and updates to Forms BD, BR, U4s, U5s, and annual renewal fees• Reviewed and approved outside business activities of registered representatives• Handled 529 plan amendment filings and filed plan financials per MSRB Rule G-32 requirements• Maintained tracking and regulatory filing of political contributions pursuant to MSRB Rule G-37• Ensured business units conducted Firm element CE as required, assisted in development and tracking of the materials and completion records• Updated Annual Compliance Meeting materials• Maintained and edited Written Supervisory Procedures to ensure they remained current and in line with applicable regulatory changes, communicated changes to the appropriate business units• Reviewed emails for compliance with company policies and procedures, identifying any potential issues and following up as necessary

Shawnee Mission, Kansas, United States

• Inspected the company’s financial advisor branch offices across the nation for compliance with FINRA and SEC regulatory requirements as well as the company’s policies and procedures • Reviewed reports prior to onsite visits to identify potential issues for examination• Utilized company reports, branch documents, and interviews to ensure record keeping requirements were met and to analyze if branch activity complied with regulatory and company policies and procedures• Interviewed and interfaced with Regional Vice Presidents, Division and District Managers, and Financial Advisors regarding compliance procedures, advisor activities and any concerns• Collected and reviewed extensive materials both prior to and during onsite inspections• Counseled Regional Vice Presidents and Branch Managers regarding compliance questions and concerns• Wrote detailed compliance examination reports based on findings, made recommendations, and escalated issues as appropriate including reporting any deficiencies to management• Responsible for traveling to and inspecting approximately 100 offices per year.• Made travel arrangements and completed expense reports in a timely manner

Shawnee Mission, Kansas, United States

• Primary point of contact for sock certificate sales with the company’s clearing brokerage firm• Developed departmental procedures and training materials• Provided procedural input to internal auditors• Executed stock certificate sales for clients• Reconciled trade disputes

Shawnee Mission, Kansas, United States

• Advised employees on the processing of client account redemption and exchange requests• Researched client account requests• Approved and prepared expedited client mutual fund redemption requests• Communicated with clients, advisors, and management to ensure requests were fulfilled appropriately• Completed verifications of deposit of client funds based on requests from banks and mortgage companies