Rob Bennett Email & Phone Number

Saint Petersburg, Fl, Us

St. Petersburg, Florida, Us

New York, New York, Us

• Responsible for submitting $65B+ worth of assets to the regulator via the FINRA Gateway.• Ownership of daily review and submission of Short Interest Reporting, Large Options Positions Reporting (LOPR), 13F and 13G Reporting on behalf of the Position Reporting team.• Act as a liaison in the department to help explain and teach other regulatory reports such as Electronic Bluesheets (EBS), Consolidated Audit Trail (CAT), and Section 3 Reporting.• Manage and guide analysts for accurate reporting to comply with FINRA rules and regulations.• Relationship building with other business units (Compliance, Legal, Engineering) to automate and streamline reporting to avoid manual intervention, errors, and inefficiencies.• Utilized Confluence to update and track Business Requirements Documentation, testing efforts, procedure documentation, scheduling, and error tracking. • Achieved earliest Short Interest Reporting submission in position reporting history at Goldman Sachs. Built out processes to ensure early reporting is best practice in the department.

St. Petersburg, Florida, Us

St. Petersburg, Florida, Us

• Responsible for the daily oversight and submission of Non-Financial Regulatory Reports on behalf Raymond James in order to maintain proper compliance with industry rules and regulations (e.g., Consolidated Audit Trail (CAT), Large Options Positions Reporting (LOPR), Electronic Bluesheets (EBS), Short Interest, Section 3 Reporting, Treasury International Capital (TIC Reporting)• Collaborate with team that we are under the 5% compliance threshold for Consolidated Audit Trail (CAT) error rate.• Responsible for maintaining the overall compliance error rate resulting in a consistent daily average below 1% which has resulted in a sufficient assurance rating per FINOP Compliance.• The reduction in error rate came from successfully identifying and implementing software fixes and logic updates that were confirmed via testing.• Lead department on AIS training initiative to support the creation and utilization of decks, training plans, and overview documents to successfully implement NFRR operations representation in Southfield by end of FY21.• Coaching and mentoring new team members in the initial integration of Southfield and NFRR in St. Petersburg to create an effective dual site environment while ensuring the same level of quality and expectations that are represented on behalf of NFRR in SF as they are here in St. Pete• Responsible for training analysts along with senior management on multiple reporting processes.• Ensure adherence to regulatory rules and requirements from various regulatory agencies (e.g., FINRA, SEC, FED, OCC). Primarily on rule interpretation of new and changing regulations and the creation of recommended process controls for audit purposes with FINRA and KPMG. • Collaborate and effectively communicate with others lines of business (e.g., GEIB trading desks, P&S, New Accounts, Compliance, technology, external counterparties) to resolve issues to mitigate regulatory risk that have a material impact on the firm.

Jersey City, Nj, Us

• Analyzed policy and procedures within business unit identifying potential issues and making recommendations for efficiency improvement. Evaluated existing business risks, related controls, and compliance structures and developed processes to mitigate impact to business.• Created RCM (Risk and Control Matrix) for each regulatory work stream to identify key controls, the risks these controls mitigate, and gaps in the current state of operations.• Established a framework to assess and report on the quality of the data used for testing and co-ordination of user acceptance testing• Created Business Requirement Document (BRD) for application development.• Mapped process activities to desired outcomes to rectify KRIs. • Reported to the CFO, held weekly meetings on findings which resulted in better project management.• Developed and maintain test scripts and methodology to ensure internal control functionality for multiple streams relating to FINRA rule 17a-5 (15c3-1, 15c3-3, 17a-13 customer statements, client onboarding, FOBO reconciliations, and customer/non-customer designation).• Worked collectively as a second line of defense assisting management in developing processes and controls to manage issues, while supporting management policies, defining roles and responsibilities, and setting goals for implementation.

Charlotte, Nc, Us

• Build and deepen client relationships by uncovering financial needs and recommend suitable products• Provide excellent teamwork by generating business referrals by completing One Team Seller Effectiveness• Display passion, commitment and drive to contribute daily to one of the top ranked sales teams in the Central Manhattan Market