Michael Nemeroff Email & Phone Number

Pennington, New Jersey

• Responsible for the review and approval of marketing communications with the public as well as associated internal-use only content.
• Ensure that reviews comply with FINRA, SEC and MSRB Rules as well as internal policies where applicable. review all social media posts, likes, and comments by the field
• Review and approval of content submitted by Marketing, GWIM LOB’s Merrill, RPWS, CIO, ISG, Consumer Investments (Edge), Financial Advisors, MSM’s, etc.
• Partner with our Legal and Compliance partners to assure regulatory consistency.
• Responsible for filing certain communications with FINRA. oversee web pages, videos, podcasts, email content, seminars/e-vites, e-comms, FA websites, social media, cross-marketing materials, national events, fact.

Greater New York City Area

• Approve all retail communications from the wealth management branch field offices including advertising, portfolio management, corporate communications media, and seminars.
• Lead on all communication approvals from such states as Texas, Maine and Missouri.
• Monitor field social media activity for compliance.
• Reviewing Advertisements (Print, Television, Radio, Online), Press Interviews (Scripted), Custom Website Content, Radio Script, Seminars (Presentations, Invites, Handouts, OutsideSpeaking Engagements), Brochures &.

NY, NY

• Promoted to this role in 2014 from the position of Analyst
• Led content committees (Series 6, 7, 24, and 99) made up of Compliance and Operations Senior Executives from around the USA to ensure the quality of the Regulatory Element CE programs through the creation of realistic.
• Conducted review of all cases for innovative instructional design and accuracy. Make appropriate changes to receive General Counsel and SEC approval.
• Evaluated the effect of all rule changes on program including OFAC, Communications, KYC, Suitability and AML.
• Worked closely with the Office of General Counsel and other FINRA departments on registration and qualification issues as these relate to CE.
• Liaise with regulatory organizations and industry groups to review the CE programs’ content and requirements. Provide support in developing, enhancing and completing tasks and projects associated with CE Council.

• Designed, developed, and lead all training for both new and existing RRs for Princeton Agency. Over 45 RRs for these classes.
• Managed and led unit of 6 full time RRs
• Main agency contact for all technology, LBS, marketing, training, and support, created new hire mentor and training program reducing turnover

New York, NY

• Partnered with internal customers to develop and deliver learning solutions to meet business objectives for compliance, sales, operations, leadership, software, and soft skills topics.
• Delivery formats included performance support tools, multimedia e-Learning modules, nugget-sized solutions, quick reference guides, pocket cards, self-study, and classroom.
• Helped organize and develop Park Avenue’s Compliance B/D Conference in NJ and IS Specialist Workshop in Atlanta/Philadelphia in 2007/2008.

• Managed the development process of online and in-person courses and all aspects of training curriculum including activities, training media, and training guides in partnership with subject matter experts and a.
• Worked with Subject Matter Experts and contracted vendor to create on-line, instructor-led, and self-study training modules that included learning objectives, written content, tests, PowerPoint Slide Deck, and forms.
• Conducted a skill gap analysis of Call Center Department to develop and facilitate a program for staff with continual follow-up.
• Developed and facilitated training nationwide through classroom and online synchronous delivery methods to orient new employees to the history, mission, business practices, and values of TD Waterhouse.