Daily review of incoming and outgoing email correspondence through Global RelayMonthly review of trade blotters of non discretionary and discretionary acctts with Swab, Fidelity, & PershingFile quarterly 13F and !3G reports to the SEC to make sure firm is below it's 5% limitFile FinCEN 314 (a) reports on by monthly basis

Analysis incoming and outgoing correspondence through Global Relay to target any inappropriate emails Assessment of monthly employee broker dealer statements to ensue employees were not trading restricted equities away from the firm

Daily review of incoming and outgoing asset movement for any Red FlagsOnboarding of Non registered and Registered Representative into Muriel Siebert and FINRA website.Approval of all employee trades to review for any misconducts and trading in Muriel SIebert stock.Implemented an online system through a third vendor to streamline non registered personnel in the examination process.Monthly review of REG BI completion executed by Registered Representatives to stay in compliance with rules and regulations of FINRA and the firm.Conducted AML Independent Audit for 2020 for Muriel SIebert.

Principal Supervisor of 100+ Registered Representatives out of the 810 branch in NYCApproval of asset movements, new accounts, account corrections, alerts through CatalystInteracted with Registered Representatives, Sales Assistance, and Operations and Compliance teams.

Completed Independent AML auditsEstablished monthly trade reviews of employees and client accountsImplemented and upgraded procedures to keep firm current in FINRA and SEC rules and regulations

Scheduled and completed Supervisory Interviews/Inspections of Agents and Managers on current standard related policies and procedures within my General OfficeInvestigation of Agent Complaints, document interviews, and reported recommendations to the Home OfficeConducted new org. agent training on standard related issues with regard to compliance along with yearly firm element meetings Managed Red Flags ECPS statements of Agents for their completeness and responsiveness/reviewed with Managing Partner/made recommendations for follow up and next steps as directed by the Home OfficeAssist with the review of Incoming and Outgoing Correspondence to ensure company procedures were followed and maintained on a daily basis

Worked closely with Chief Compliance Officer to facilitate the successful completion of internal auditsInvestigated the yearly review of mutual fund executions for potential break-points and switching violations

Review all Anti-Money Laundering (AML) exception reports to monitor account opening, trading activity, asset movements, and restricted/low priced securities Generate and file Suspicious Activity Reports (SARs)Conduct bimonthly 314(a) reviewsServe as 314(b) point of contact in sharing of information between firmsMonitor the customer identification program(CIP) to verify the identity of clients opening accounts with in the firmPerform annual review and update of AML section of Written Supervisory Procedures (WSP) of the firm to maintain the scope of business and mitigate riskAdvocate and encourage the continual education of operational staff and registered representatives (R.R.) of method of AML Conduct internal branch audit examinations, record findings, and resolve deficienciesAssist in the preparation of records for the requested information for FINRA examinationsPerform the monitoring of Trace Reporting for the firm to make sure all corporate and agency debt trades and securitized products are reported in timely basis

Conducted daily review of trade activity to ensure clients annual income, net worth, and age are appropriate to the investments objectives and risk toleranceProcessed check deposits and withdrawals, security deposits, federal fund wire requests, acats, journals and cancel and corrections of trade requestsAssisted in payroll of employees and monthly review of all firm account to make sure accounts are in balanced month end Reviewed and approved new accounts and managed accounts Monitored incoming and outgoing correspondence for registered representatives (R.R.) and clientsServed as liaison between R.R. and clearing firm on the resolution of margin issues associated with clientsConducted an annual review of active accounts that compared yearly commission generated by clients to investments objectives, risk exposure, annual income, net worth and age of client.

Serviced Client AccountsQualified Leads to Open Accounts Passed Series 7

Qualified leads for account openersServiced Client CallsPrepared to qualify for the Series 7