Stephen Brenner Email & Phone Number

Compliance Professional responsible for providing Registered Investment Advisor guidance to the Merrill Lynch Wealth Management and Merrill Edge lines of business. Responsible to ensure compliance with all SEC RIA requirements..Responsible for the independent compliance and operational risk oversight of domestic and offshore mutual funds, exchange traded products, third party managers for managed account solutions, advisor discretion, and the Fiduciary Platform and Programs. .Assist in maintaining and communicating regulatory changes, advising and directing business leaders to ensure regulatory requirements are addressed in their respective processes and controls to ensure regulatory requirements are adhered to..Responsible for overseeing compliance with the Investment Advisers Act of 1940 and Investment Company Act of 1940 and other applicable regulations for the advisory services platform..Contribute to the monitoring and testing coverage plans and related metrics for Front Line Units and Control Functions..Monitor and test the effectiveness of the FLU and Control Function compliance risk controls..Assist the lines of business in preparations for regulatory exams and audits for FLU, CF and related Enterprise Areas of Coverage..Provide guidance and advice on supervision and risk associated with the implementation and rollout of new products.

New York, New York, United States

Managed team of 10 Compliance Professionals responsible for the reviews of all aspects of product and account level trade surveillance. Worked extensively with FLU, IT, Enterprise Coverage areas to develop test design and implementation of control processes..Responsible for maintaining and support of the daily testing processes, program standards and reporting to effectively monitor ongoing activities within the BD and RIA. .Responsible for driving testing expansion and support, automation process initiatives for the MLWM, and ML Edge lines of business..Partner with Enterprise Independent Testing peer groups and FLU Compliance to expand reporting and analytical capability of Surveillance testing results and trending..Effectively communicate the reporting of testing results to the MLWM Senior Management teams.Coordinate and assist EIT management in response to regulatory inquiries and examinations.

Long Island City, Ny

Compliance Professional responsible to provide both Broker Dealer (FINRA) and RIA (SEC) compliance coverage to the Consumer Wealth Management business..Support RIA CCO compliance monitoring program to facilitate reporting of the firms Personal Wealth Management, Personal Investments, addressing regulatory issues and ensuring compliance with rules and regulations..Coordinate with RIA CCO to support overall RIA compliance coverage under a consistent, integrated model, with particular focus on providing Personal Wealth Management, Personal Investments, specific input and coordination..Created and updated RIA-wide policies and procedures, annual report, monitoring and testing initiatives, and provided business monitoring feedback..Review business product programs and various forms of communications as needed for regulatory compliance and adherence to the firm’s standards..Participate in relevant RIA-related oversight committees and fiduciary governance activities, providing Wealth Management specific compliance input and representation..Assist with development of content, implementation and delivery of investment advisory compliance training, both Personal Wealth Management and Personal Investments-specific and RIA-wide.

New York, New York, United States

Compliance Professional responsible to provide both Broker Dealer (FINRA) and RIA (SEC) compliance coverage to the JPMS Wealth Management business..Conducted comprehensive reviews of the JPMS surveillance program which resulted in automated solutions and test builds implemented in the Actimize Compliance system..Coordinated the Annual 206(4)-7 review/testing of the JPMS advisory programs..Member of the team that successfully combined the JPMS and Chase Investment Services Corp. RIAs in October 2012 which allowed the Firm to reduce cost..Advised the business on daily matters involving trading issues, principal and agency cross trades, rule interpretations, operations and account matters..Coordinated with the Control Room and Information Barriers areas to address Restricted List trade violations while providing guidance to the business..Enhanced the complaint reporting processes and trending reports provided to Senior Management, Legal and Risk..Created, updated and maintained JPMS Policies and Procedures, JPMS Advisory, and JPMS Code of Ethics manuals.