Monica Mora Email & Phone Number

Los Angeles, Ca, Us

Los Angeles, California, United States

Los Angeles Metropolitan Area

Posses and employ knowledge of current regulatory environment while staying informed of global regulatory and market structure changes that may affect the scope of existing surveillance program Review and prescribes appropriate action to non-compliant electronic communications identified in the electronic communications (email, websites, and social media) of all registered individuals. Review potential conflicts of interest , trade allocations as well as identify any irregularities or discrepancies as part of the trade review process.Investigate and research, and analysis, up to and including, final resolution of Bypass Violations, Breakpoint, Switch, and 1035 exchange , Customer Identification Program analysis.Annually conduct FINRA 3120 testing and validation of firm's policies and procedures, analyze current processes, prepares a report of noted deficiencies, and suggests best practices and corrective actions as necessary.

Active part in the review, monitoring, testing and verification of our firm policies and procedures.Evaluate account activity and prepare due diligence reports regarding anti-money laundering regulationsComprehensively explain product benefits, changes, restrictions, requirements any other relevant product information to customers and employees. Processed and follows up on client documentation for proper maintenance of accounts. Prepared weekly reports and spreadsheets to assist with servicing existing clients and prospecting for new clients. Assist in all phases of financial services Distribute time sensitive, regulatory and compliance material.Maintain and follow strict confidentiality regarding the company and client’s sensitive health finances and purpose of visit.Opened new accounts, processed orders for existing clients, and answered questions regarding the Firms products and services.Maintain current BSA knowledge, while remaining apprised of operating procedures and audit standards