Merlin Elsner Email & Phone Number

Seasoned Compliance and Operations Officer leading a regulatory compliance environment experience in establishing and implementing cost-effective regulatory compliance processes for the banking and securities industries.Proactive and self-motivated, hands-on leader with a high level of energy and commitment, accustomed to multi-tasking. Excellent communications and writing skills as well as interpersonal and teamwork skills. Adept at transforming compliance into a business partner, while embedding compliance into everyday business practices through a collaborative team-based approach. Primarily responsible for designing and implementing a culture of compliance with regulatory requirements directly related to the securities industry, and developing procedures for the benefit of institutional customers' respective regulatory programs. Strong ability to interpret complex regulations and translate the language and spirit of the rule to a wide audience. Detail-oriented, with equal consideration for the bigger picture to ensure business processes stay within the expectations of reasonable design and execution. Communication skills are proficient in maintaining internal relationships at all levels of the organization. Act as a single point of contact and primary resource for all employees in non-compliance-related areas, acting as the Corporate Responsibility Officer, Risk Management Officer, and several other titles non-inclusive of sales management position(s). (cross-risk functionality and awareness)Single point of contact for regulatory relationships, frequent maintenance through an environmental sea change Specific skills:Written Supervisory Procedures production, implementation and maintenanceProvide productive and efficient guidance to Board or front lineEstablishing industry best practices, ahead of the curve, for the Municipal Advisor Rule, and Regulation Best Interest ("REG BI"). Membership with affinity groups conducive to EDGAR filings for Municipal Advisory Activity, annual financials, and 17-H filings. Building a Compliance team and developing important relationships with regulatory contacts. Designing and implementing Risk Management policies for a small firm deemed too large to fail under capital requirements. Independent audit and investigations, measuring and monitoring adherence to procedureEmbedding enterprise-wide risk management controls, adjusting for risk appetite.Process design and implementation to reduce input error and output costs. Internal Training on securities industry knowledge to support staff

Listed skills include Finra, Aml, Capital Markets, Usa Patriot Act, and 40 others.