Supporting the overall supervision needs of our Elite Summit level advisors

Responsible for the overall supervision of independent field offices of the broker-dealer, ensuring that firm and regulatory policies and procedures are being communicated and followed effectively by all advisors. Maintained ongoing positive relationship with all Branch Managers and support staff in collaboration with Business Development. Worked with Recruiting department training and on boarding of new advisors. Primary point of contact for all compliance related matters for assigned advisors. Excellent management, and human relations skills with strong attention to detail, excellent problem-solving and follow-up skills. Licenses held Series 7, 63, 24, 53, 4, 66, Insurance and Variable Annuities.

Responsible for the overall supervision of independent field offices of the broker-dealer, ensuring that firm and regulatory policies and procedures are being communicated and followed effectively by all advisors. Maintained ongoing positive relationship with all Branch Managers and support staff in collaboration with Business Development. Worked with Recruiting department training and on boarding of new advisors. Primary point of contact for all compliance related matters for assigned advisors. Excellent management, and human relations skills with strong attention to detail, excellent problem-solving and follow-up skills. Licenses held Series 7, 63, 24, 53, 4, 66, Insurance and Variable Annuities.

Responsible for the delegated supervision of the offices of the broker-dealer in the Southern Region, ensuring that firm and regulatory policies and procedures are being communicated and followed effectively by all advisors. Provides support to the Supervision RVP by assuming delegated FLS responsibilities and providing other supervisory assistance as required. Including approval of new account applications, reviewing transactions on a trade blotter, review and approval of variable annuities, mutual funds, and securities transactions for suitability, advisor email, client correspondence and approval of options accounts. Maintains ongoing positive relationship with all Branch Managers and support staff in collaboration with the SRVP and Business Development. Primary point of contact for all compliance related matters for assigned advisors. Excellent management, and human relations skills with strong attention to detail, excellent problem-solving and follow-up skills. Licenses held Series 7, 63, 24, 53, 4, 66, Insurance and Variable Annuities.

Responsible for the following; reviewing Advisor business for common risk and regulatory issues, creating summaries detailing negative trends including, variable annuity replacements, mutual fund concentrations, switching, alternative investment liquidity issues, etc.
 Delivering trend summaries to Supervision, Branch Examination, and Senior Management teams. Participated in the creation and issuance of written procedures and compliance communications.
 Served on various committees and projects as determined by Management.

Traded options and other derivative products for SunTrust Wealth Management clients. Responsible for foreign exchange, bank collateral transactions, and monthly reconcile of customer accounts.

Operations role working with ISDA documentation, Mark to Market collateral, and account reconciliations for Swap Documents for Vanilla, BMA, and other miscellaneous swaps. Adapted and managed an incentive program for a Derivatives relationship managers unit. Team Lead of a group of three, assessed and monitored risk of investments based on market trends. Supervised the cultivation of relationships and provided support to clients throughout transaction process. Presented monthly information sessions about careers at SunTrust to new employees.