Michael Pompeo Email & Phone Number

Lake Mary, FL, US

Dallas, Texas, United States

Dallas, Texas, United States

Lake Mary, Florida, United States

• Analyzed and closed Nasdaq Trade Surveillance (NTS) alerts, ensuring adherence to U.S. laws and regulations, mitigating potential compliance risks
• Conducted investigations on potential securities fraud and financial crime (e.g., insider trading, wash trades, market manipulation), created referrals to AML investigations due to potential market manipulation or.
• Identified and resolved additional compliance issues by reviewing daily employee trading activity and money movements, ensuring all activity fell within company policies, leading to improved regulatory adherence and.
• Contributed to a reduction in trading activity violations by drafting correspondence for escalated client warnings, ensuring stronger regulatory adherence
• Identified and addressed surveillance gaps, resulting in an improvement in detection accuracy and enhanced regulatory compliance
• Supported the Fraud, Legal, and Regulatory Inquiry Reporting functions by providing insightful analysis and recommendations, contributing to proactive compliance measures

Lake Mary, Florida, United States

• Reviewed and responded to regulatory inquiries, ensuring timely and accurate submissions. Strengthened regulatory relationships and avoided potential penalties, safeguarding company reputation
• Oversaw a team of 5 contractors in providing firm complaint data metrics to senior management, resulting in enhanced visibility and understanding of customer complaint trends for strategic decision-making

Lake Mary, Florida, United States

• Provided regulatory advice and support to managers and trading desk personnel across all lines of business in Pershing Trading Services, an affiliate of BNY Mellon
• Oversaw all potentially manipulative trade exception inquiries, effectively escalating and filing reports as necessary, leading to enhanced regulatory compliance and risk mitigation for Pershing
• Worked with supervisory officers on a variety of firm policy and procedure issues that arose to address any gaps or breaches, such as drafting compliance bulletins, training and updating existing policies and procedures
• Provided real time trading and regulatory guidance to the domestic and foreign equity trading desks
• Reviewed the daily FINRA OATS firm data; repaired rejects, analyzed unmatched and unlinked data, composed data metrics and attended meetings with members of Compliance, Business and Trading departments to discuss the.
• Streamlined processes by managing the DataMinder Email Surveillance tool; Analyzed statistics and collaborated with managers to resolve discrepancies; Sent quarterly reporting statistics to the Chief Compliance and.

Lake Mary, Florida, United States

• Managed the New Accounts team, resulting in the development of employee skills and a marked improvement in operational efficiency
• Oversaw risk management through AML, CIP, and internal rules engine, contributing to an increase in efficiency and minimizing potential financial penalties for the firm
• Developed Policies and Procedures, provided training and guidance to internal and external customers.
• Approved New Accounts- performed due diligence required for Individual, Retirement, Trust, and Corporate accounts
• Approved Cashiering transactions including ACH, Checks, Fed Wire, and Journal requests. Also reviewed and approved applications for Options trading activity

Secaucus, New Jersey, United States

• Managed a team of stock plan administrators responsible for plan balancing and reconciliation, record keeping, work flow and financial reporting for Corporate ESOP, ESPP, and Restricted stock plans
• Assessed clients needs by conducting weekly conference calls
• Reviewed weekly and monthly statistics and surveys with corporate clients
• Oversaw the day to day trading activity for the corporate clients
• Partnered with the implementation team on new product offerings and system enhancements changes to corporate clients internal and external platforms
• Conducted on site corporate client visits

Jersey City, New Jersey, United States

New York, New York, United States

New York, New York, United States