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

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

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

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