Michael Steger Email & Phone Number

Upstate New York, United States

Manage two Registered Supervisory Principals interaction to perform office inspections of registered locations across the footprint, delivering the results and ensuring remediation of identified issues, in accordance to firm policy and FINRA 3110 requirements. Monitor and Support cost center budget, in accordance to, P&L Reporting and overall business unit expense approval.

Buffalo, New York, United States

Managed 4 Licensing Specialists who assisted 1,300 licensed individuals across M&T Securities, M&T Bank, and Wilmington Trust. Identified areas to enhance efficiencies, productivity, and reduce expenses. Supervised with 1 direct FTE the firm’s email surveillance, social media, web supervision, in accordance to regulatory requirements. Coordinated and submitted Firm Regulatory Filings: FINRA Inquiries/Investigations, Form BD updates; and State Inquiries/Investigations, Form ADV updates.

Rochester, New York, United States

Reported to the Chief Compliance Officer, assisted in setting strategic direction to support Sales Management to ensure compliance with firm and regulatory processes. Developed procedures and training to assist with compliance requirements. Handled field inspections of Office of Supervisory Jurisdiction (“OSJ”) and branches. Coordinated examinations: FINRA and Internal Audits.

United States Naval Reserves-Managed the Supply department and served as the Career Counselor supporting over 150 sailors.

Education record

Master Of Science (M.S.), Management

Graduated with High Honors

Master Certificate In Labor Relations

Bachelor Of Science (B.S.), Business

Associate Of Science (A.S.), Business Administration And Management

Banking Diploma, General