Nancy Kline Email & Phone Number

Richmond, Va

Implemented state-of-the-art e-communication surveillance system and developed accompanying processes and guidelines to ensure all employee communications remained compliant with federal, regulatory, and corporate policies and regulations. Designed and tested internal controls. Involved in the testing and compliance process under NASD Rules 3012/3013 (controls oriented rules similar to Sarbanes-Oxley for compliance controls). Identified topics for, organized, and presented training sessions for firm employees. Advised employees on compliance matters to ensure consistency with regulatory and corporate policies. Developed auditing tools to provide enhanced employee surveillance, regulatory adherence, and operations oversight. Worked effectively with technical staff to adhere to compliance requirements.

Researched and developed web-based training courses for broker-dealers and bank broker-dealers. Clients ranged from bulge bracket firms to smaller boutique firms. Training course topics included mutual fund market timing, variable annuities, customer complaints, and equity underwritings. Monitored regulatory developments to ensure clients were kept up to date with the most recent regulatory “hot issues.” Provided input on new product development.

Provided securities industry expertise to the company’s product management and development efforts to improve and extend the scope of the products. Served as a resource to the technology group by translating regulations to enable proper development of software logic. Worked closely with project teams to finalize functional requirements and define testing approaches for products.

Responsible for ensuring firm and employee compliance with regulations stemming from a variety of agencies including the SEC, NASD and MSRB. Primarily monitored the equity and options trading desks. Was the designated SROP/CROP and established and oversaw the options supervisory system.

Held a variety of roles of increasing responsibility in Internal Audit, Member Regulation and Market Regulation. Activities included:Internal Audit: Planned and conducted routine operational reviews and ad hoc operational reviews of any NASD, Nasdaq, and NASDR functions or operational areas. Provided expertise and assisted the independent consultant, Price Waterhouse, in its review of the NASDR Market Regulation Department. Member Regulation: Conducted on-site examinations of a variety of broker-dealers. Monitored and analyzed the financial and operational condition of member firms. Conducted Pre-Membership interviews with potential members. Selected to assist outside counsel during the SEC and Justice Department investigations of the NASD and Nasdaq.Market Regulation: Conducted in-depth investigations into unusual market activity of Nasdaq securities. Conducted insider trading and manipulation investigations.

Mba, International Business Finance

Ba, Economics/Communications