Steve Patterson Email & Phone Number

Plantation, Fl, Us

- Managing the deployment of LexisNexis Risk Narrative for transaction monitoring in equities/futures/options including alert parameter testing and trend analysis- Conduct transaction monitoring alert disposition reviews and AML referrals- Monitor cryptocurrency deposits and withdrawals for red flags of financial crime and other high risk activity occurring within Tradestation Crypto accounts, utilizing Chainalysis KYT and Chainalysis Reactor- Develop WSP and Desktop Procedures pertaining to cryptocurrency monitoring and transaction monitoring- Regularly review cryptocurrency alert parameters within Chainalysis KYT to help improve effectiveness

St. Petersburg, Florida, Us

- Conducted virtual branch office exams in RegEd on Firm branches throughout the US, identified potential issues, and educated advisors on best practices, company policies, and FINRA/SEC rules and regulations- Wrote and distributed results of examination reports and followed up on policy or regulation deficiencies

- Conducted virtual branch office exams in RegEd on Firm branches throughout the US, identified potential issues, and educated advisors on best practices, company policies, and FINRA/SEC rules and regulations- Wrote and distributed results of examination reports and followed up on policy or regulation deficiencies

Frankfurt Am Main, Hessen, De

- Increased efficiency and consistency in the performance and documentation of daily, weekly, monthly, quarterly surveillance reviews and internal controls of RIA account activity by developing tracking methodologies/procedures- Centralized review results for trend analysis, audit responses, and reporting to identify training and controls- Enhanced reviews through regular testing of controls to further mitigate risk and increase efficiency- Overhauled written desktop procedures creating new surveillance reviews after a gap analysis with current US and European regulatory developments versus business products and services - banking and securities- Managed a project to upgrade the current trade surveillance system, Sungard/FIS Protegent, from statement of work through user testing, collaborating with vendor for capabilities and expectations

Us

- Expanded the RIA surveillance program to include the following targeted risk areas: Best Execution, OATS Trade Reporting, Brokerage Allocation, Investment Guidelines & Restrictions, Code of Ethics, Employee Insider Trading, Material Non-Public Information, Fee Calculations, and Performance Dispersion- Presented multiple Annual Compliance Meetings and additional training for Firm staff- Built out Best Execution analysis, including reporting and documentation for quarterly Best Ex Committee meetings, worked with vendors for Held/Not Held trade data for further Transaction Cost Analysis- Monitored and addressed issues arising from AML Account review including deposit and withdrawal velocity, third party checks, appropriate Signature Guarantee, proper Supervisory review documentation

New York, Ny, Us

- Guided Branch Sales Manager for all compliance related functions and issues- Acted as OSJ Manager Delegate to supervise and educate 100+ local and detached financial advisors- Conduct annual interviews for each financial advisor associated with the branch including inspection of business practices and business physical locations- Performed suitability review of transactions including mutual funds, variable annuities, alternative investments, and investment advisory services- Presented annual compliance meetings and provided additional supportive training and consultation- Effectuated and maintained branch office and RIA books and records requirements- Reviewed, updated, and tested independent RIA written supervisory procedures regularly- Reviewed written incoming/outgoing correspondence, outside business activities, checks/securities log

Phoenix, Arizona, Us

- Built out the Firm’s risk-based Monitoring and Testing (“M&T”) program - test scope, procedures, et al- Liaised with internal departments to sample and test applicable policies and develop remediation plans- Administered the development and use of RR Risk Reports generated from the Compliance Profile Database in Microsoft Access making use of current and historical data from multiple departments and FINRA/CRD to generate dynamic hierarchical reports for risk analytics utilized in the following areas: Compliance, Supervision, Branch Office Exam, Surveillance, AML, and Business Development

Phoenix, Arizona, Us

- Produced and presented Annual Compliance Meetings and additional training for broker/dealer staff- Provided custom education to Branch Managers and Financial Advisors which assisted in growing their business while also maintaining a culture of compliance- Lead investigations of allegations of misconduct or improper practices, identify risk exposures, and develop and implement remedial measures (Letter of Education, Cease & Desist, Special Supervision Agreement)- Project Owner and administrator for implementing Gryphon - Do Not Call, collaborated with various departments to develop project expectations, procedures, and logistics for communications- Addressed and responded to Federal and State regulatory inquiries and exams- Working knowledge of regulatory requirements, FINRA, SEC, and State

Phoenix, Arizona, Us

- Conducted branch office audits on Firm branches throughout the US, identify potential issues, and educate advisors on best practices, company policies, and FINRA/SEC rules and regulations- Wrote and distributed results of examinations reports and followed up on policy or regulation deficiencies

Phoenix, Arizona, Us

- Respond to general operational and compliance inquiries from OSJ Managers, Financial Advisors, and internal departments to resolve issues and provide policy interpretations in a timely manner

Oakdale, Minnesota, Us

- Met with clients and prospects to evaluate financial needs, identify goals, and determine financial solutions based on investment objectives, overall financial situation, and risk tolerance

Certificate, Commercial Real Estate

Education record

Bachelor'S Degree, Missions/Missionary Studies And Missiology