Directed firm regulatory filings and reviews for two FINRA registered broker-dealers and seven SEC registered investment advisers, including Form BD and Form ADV Part 1 and Part 2. Collaborated branch office reviews with senior management and directed branch filings and amendments for 73 branch offices nationwide, including supervisor/person-in-charge, type of business conducted and OSJ supervisory responsibility changes.

Broad scope of responsibility that included regulatory filings for NYSE/FINRA registered broker-dealer and SEC registered investment adviser, including Form BD, Form ADV Part 1 and Part 2, 13D, 13G and quarterly 13F filings. Reviewed and directed quick turn around on resolutions to customer complaints, kept bank regulatory and FINRA records for customer complaints and filed 3070 disclosures with FINRA. Administered the new employee and annual personal trading account certifications, reconciled employee brokerage accounts and reviewed employee personal trading accounts for trading exceptions.

Provided compliance oversight for leading US broker-dealer affiliate of large banking institution. Managed the broker-dealer supervisory structure and verified appropriate supervisory qualifications were met. Worked with legal counsel to verify appropriate litigation matters had been appropriately disclosed on Form BD for firm and affiliation broker-dealer and investment advisers. Managed registrations and continuing education requirements, conducted e-mail surveillance and directed new employee orientation.

Review and processing of registration requests on WebCRD for registered representatives and member firms. Responsible for the review and approval of members and member firms to trade on exchange trading floor and/or purchase memberships. Processed membership seat sales and established customer relationships with high net worth clients/members.

Managed the member services department of a regional stock and options exchange with two trading floors. Reviewed and approved member applications. Worked with OCC and NSCC in establishing clearing account routing for self-clearing member firms. Oversaw membership recruitment and retention through effective communication with seat owners, brokers, market makers and broker-dealer members. Prepared board reports regarding membership recruitment and seat market data. Managed accurate billing generated by the department in excess of $12M. Served as liaison to the Board of Directors' Membership Committee.