Interim Chief Compliance Officer--Sep 2008 to Jan 2009.Responsible for conducting and managing multiple compliance functions including Trade Suitability and Surveillance, Email Surveillance, AML Suspicious Activity Reports, Broker/Dealer and RIA Annual Exams, and FINRA and State Registration Filings.Monitor and supervise the firm’s options business with regard to suitability and adherence to firm and FINRA guidelines.Responsible for implementing and supervising the annual Firm Element CE program, including facilitating Insurance CE training.Responsible for managing the Section 16 beneficial ownership FDIC filings for Senior Management and Board of Directors, including notifying the firm of Blackout Periods regarding employee trades in company securities.Work with Chief Compliance Officer and Business Units to successfully complete SEC and FINRA Regulatory Examinations.

Managed a team of Branch Auditors with responsibilities including supervisory review of audit work papers, creating an audit schedule, formulating and issuing final exam reports.Conducted reviews of Auditors travel and expense reports.Converse with Regional Compliance Officers and Branch Supervisory staff in regard to audit findings and upcoming audit planning.Honed time management skills and was able to produce a high quality work product within a 60 day audit turnaround schedule.

Reviewed and monitored trade surveillance reports with regard to daily trade activity.Created legal referrals for senior management review based on sales practices and overall KYC concerns for clients’ accounts.Revised and enhanced surveillance techniques while continuously looking for up to date methods for monitoring potential risks to the firm.Responsible for conducting Broker Surveillance reviews with regard to sales practice concerns and overall business practices. Legal Memos drafted to Senior Management and Legal Department based on findings.

Main objectives were to establish relationships with individuals and businesses to attract and retain a client base.Proactively researched prospective clients and established contract to discuss an investment portfolio recommendation and overall financial plan.Responsible for managing new issue syndicate allotment system by obtaining indications of interest from Investment Representatives and placing allotment requests with the syndicate desk.

Provided analytical expertise to Investment Executives and clients through customer account examination.Provided risk assessment and consulted with Branch Offices and clients on the best available strategies for suitability and risk management.Calculated margin requirements for client accounts and provided guidance to the field with regard to proposed purchases of securities using margin.