Matthew Muckler Email & Phone Number

Saint Louis, Mo

Greater St. Louis Area

Position Summary:The main purpose of this position was to develop and lead the risk management program that will identified and mitigated financial, reputational and regulatory risks by creating and monitoring internal controls.Key Accomplishments:• Fostered a culture of compliance, risk awareness and accountability for the line of business• Partnered with leadership and management to assist in determining risk appetites, related tolerances and applicable mitigating controls• Served as an escalation point and provided recommendations for management and team members in resolving risk and regulatory related issues• Monitored industry regulatory enforcement actions, investment advisor risk trends and fraud vulnerabilities to establish a proactive approach to risk management• Assisted with regulatory reviews and the collection of data and materials for regulators• Conducted regular audits and assessments of principal supervision, internal controls and associate compliance with documented operating procedures• Regularly assessed the effectiveness of other principal managers’ efforts with documented supervision and written supervisory procedure (WSP) execution• Developed and implemented sustainable risk-based controls within the business• Served in a project management role for Internal Audits including post-audit efforts for timely remediation of gaps and findings• Partnered with management on the enhancement of internal processes, controls and risk management within the Advisor Services division• Provided guidance, coaching and development opportunities appropriate to each of my direct report’s individual needs• Performed all necessary management functions, including hiring, performance evaluations, merit allocations and disciplinary actions as required

Greater St. Louis Area

Position Summary:The main purpose of the Risk & Controls Manager position for Scottrade Advisor Services was to develop and manage a risk management program that identified and mitigated financial, reputational and regulatory risks by creating and monitoring internal controls. Key Accomplishments:• Served as a resource for the enhancement of internal processes, controls and risk management within the advisor services division• Conducted regular assessments of internal controls within Advisor Services division to ensure compliance with department documentation standards, including written supervisory procedures• Evaluated new investment advisor regulatory filings, registration issues and disclosures and performed background checks on escalated on-boarding evaluations as needed• Reviewed investment advisor registration surveillance tools to check and monitor new disclosures, fines, registration terminations and other potential areas of concern• Used data analysis to help develop a proactive and anticipatory approach to risk management• Ensured ongoing analysis of risks, vulnerabilities and industry trends to help determine potential impact on the organization’s risk posture• Performed risk assessments and produced regular reports as part of the firm’s Enterprise Risk Management program• Assisted with regulatory reviews, collection of data and materials for regulators and internal auditors

Greater St. Louis Area

Position Summary:Serve as a regulatory compliance liaison with various operational and business units, including Scottrade Advisor Services. Act as a resource for HQ and branch associates when regulatory questions or complex situations arise.Key Accomplishments: • Worked closely with several Scottrade departments and business units to help review and revise internal policies and procedures and to provide guidance on regulatory matters• Served in a liaison capacity with Scottrade Advisor Services, Enterprise Fraud, Mutual Funds, Claims/Settlements and Account Transfers• Performed proactive risk assessments and mock audits to identify and address potential issues• Evaluated different third party vendors to find solutions for firm requirements• Reviewed advisors through ADV disclosure information and conduct background checks via LexisNexis, the Internet and other resources• Worked closely with Internal Audit during department audits to help define the scope of the review, clarify concerns/questions of auditors and communicate known areas of concern• Served as a resource for branch and home office associates when regulatory issues or situations arose

Greater St. Louis Area

Position Summary:Worked to support Scottrade’s Compliance Department on projects and initiatives. Performed special projects by assisting with research, analytics and information gathering efforts. Maintained and communicated department key performance indicators through presentations and dashboards.Key Accomplishments:• Conducted reviews of unauthorized and/or unregistered investment advisors who were operating on illicitly on Scottrade’s retail platform• Coordinated appropriate mitigation efforts between Compliance, Legal, Enterprise Fraud and AML• Researched and responded to written customer complaints• Responsible for creation, maintenance and quarterly filing of Scottrade’s FINRA 4530 log with regard to customer complaints• Created and maintained KPI statistics pertaining to customer complaints, arbitrations, mediations and correspondence• Analyzed customer complaint information to identify systemic patterns and trends• Served on the Branch Audit Committee• Served as liaison with the Account Transfers Department

Bachelor Of Science - Bs, Finance And International Business, Cum Laude

I Completed International Finance And Business Management Courses During A Study Abroad Program

Courses included: • International Finance • International Marketing • Global Finance • European Law • Business Organization

Management Information Systems & Finance

I completed general courses within the Management Information Systems & Finance programs at Saint Louis University