Tammy Munro Email & Phone Number

Cleveland, Ohio

Internal Auditor, Capital Markets Audit

* Achieved satisfactory reviews for all internal and regulatory audits. Regional Associate Principal for the Cleveland, Toledo, and Pittsburgh affiliates.* Responsible for conducting annual branch audits to ensure Compliance in regional Banking Center locations and with approximately 120 Registered Investment Representatives. * Provided Principal review of affiliate correspondence, marketing material, sales literature, and seminars.* Maintained FINRA and firm required OSJ files.* Conducted reviews of trading activity exception reports, Broker Audit system, and work jointly with Principal Review Desk to review trading and sales practice related issues.* Served as a liaison between Affiliate and Compliance Department staff.* Investigated customer verbal and written complaints and specialize in problem resolution. * Handled registration issues, U-4 & U-5 processing, state registrations, and continuing education.* Enforced and educated licensed staff on corporate policies and regulatory requirements.

Achieved satisfactory reviews for all internal and regulatory audits. Regional Associate Principal for the Cleveland, Toledo, and Pittsburgh affiliates.Responsible for conducting annual branch audits to ensure Compliance in regional Banking Center locations and with approximately 120 Registered Investment Representatives. Provided Principal review of affiliate correspondence, marketing material, sales literature, and seminars.Maintained FINRA and firm required OSJ files.Conducted reviews of trading activity exception reports, Broker Audit system, and work jointly with Principal Review Desk to review trading and sales practice related issues.Served as a liaison between Affiliate and Compliance Department staff.Investigated customer verbal and written complaints and specialize in problem resolution. Handled registration issues, U-4 & U-5 processing, state registrations, and continuing education.Enforced and educated licensed staff on corporate policies and regulatory requirements.

* Responsible for the surveillance of 15 offices with approximately 150 Investment Consultants. * Completed monthly reviews on accounts that are flagged on Exception Reports.* Conducted Annual Compliance Branch Audits in OSJ’s and HUB offices.* Presented the annual Compliance meeting for the firm element requirement.* Prepared client account summaries to be presented to the Compliance Committee for review.* Prepared responses and reviews to SEC, NASD, NYSE, and State regulatory inquiries.

* Participated in the development of the McDonald Investment Resource Center and the McDonald Investments Online Trading Call Center.* Successfully managed 11 individuals and continually provided sales development, product training, set goals and objectives, and created ideas for motivation.

Responsible for the surveillance of 15 offices with approximately 150 Investment Consultants. Completed monthly reviews on accounts that are flagged on Exception Reports.Conducted Annual Compliance Branch Audits in OSJ's and HUB offices.Presented the annual Compliance meeting for the firm element requirement.Prepared client account summaries to be presented to the Compliance Committee for review.Prepared responses and reviews to SEC, NASD, NYSE, and State regulatory inquiries.

Participated in the development of the McDonald Investment Resource Center and the McDonald Investments Online Trading Call Center.Successfully managed 11 individuals and continually provided sales development, product training, set goals and objectives, and created ideas for motivation.

* Supervised and reviewed trading activity for 25 Investment Consultants and 13 Investment Associates.* Conducted annual office inspections for 20 offices to ensure compliance with regulatory and firm policies.* Achieved passing rating on all OSJ audits Reviewed and approved all new accounts and annuity contracts for suitability, accuracy, and completeness. Evaluated correspondence, sales literature, advertising, and seminar information.

Supervised and reviewed trading activity for 25 Investment Consultants and 13 Investment Associates.Conducted annual office inspections for 20 offices to ensure compliance with regulatory and firm policies.Achieved passing rating on all OSJ audits Reviewed and approved all new accounts and annuity contracts for suitability, accuracy, and completeness. Evaluated correspondence, sales literature, advertising, and seminar information.

Bachelor Of Arts, Business Administration

Overall GPA 3.2

Associate, Business Management

Overall GPA 3.2