Thomas Eberlein Email & Phone Number

Greater New York City Area

London, United Kingdom

Review financial promotions to ensure they adhered to firm policy and FCA rules. The material consists of institutional financial promotions, press releases, social media, market updates and RFI/RFP, which deal with various investment funds and strategies. Work with the marketing department and assist in the design of websites and marketing material.

London, United Kingdom

Conducted several training classes, and instructed 228 employees on how to create FCA compliant financial promotions. Explained how to create material, which is Fair, Clear and Non-misleading.Reviewed financial promotions to ensure they adhered to FCA rules. The material typically dealt with FX risk management, strategic liquidity management and various hedging strategies.

London, United Kingdom

Reviewed equity, fixed income and alternative institutional financial promotions, created by the firm, to ensure it complied with FCA rules and firm policies. The material was marketed in Europe, Middle East and AsiaMy responsibilities also include writing corporate policies and conducting AML reviews.

Greater New York City Area

I review sales material created by the firm’s Marketing and Social media departments to ensure it complies with FINRA rules and firm policies. The material I review consists of proprietary mutual fund and 529 Plan sales literature. I provide strategic and tactical advice to the Social media department pertaining to regulatory rules and firm policies. I conduct training programs for the Marketing and Compliance departments which address the FINRA rules applicable to their sales material and explain the Legal department’s role.

(On June 1st 2009 Morgan Stanley and Smith Barney formed a joint venture.)I supervise the Marketing Review Group to ensure that work is completed on a timely basis and it adheres to the applicable rules. Work with various departments within Morgan Stanley Smith Barney who are responsible for creating sales material. File proprietary sales material with FINRA and work with our analyst to ensure all comments are properly incorporated. I also review non-proprietary mutual fund, variable annuity, 529 Plan, ETF and UIT sales material to ensure it complies with FINRA and SEC regulations.

Reviewed mutual fund, variable annuity, 529 Plan, ETF and UIT sales material to ensure it complies with FINRA and SEC regulations. File proprietary sales material with FINRA and work with our assigned analyst to ensure all comments are properly incorporated. Conduct quarterly internal audits. Reviewed sales material on a timely basis. Established a constructive working relationship with mutual fund and variable annuity companies. Provided departments, within Smith Barney, with the advice required to create suitable sales material.

Conducted proprietary trading utilizing technical and tape reading techniques.

Reviewed mutual fund sales material to ensure it complies with the regulations established by the NASD and SEC. I worked directly with the attorneys in the mutual fund legal department and the marketing department that created the material. Conducted an effective education program for the marketing department. Reviewed sales material on a timely basis.

Analyzed sales material to ensure it adheres to the rules and regulations established by the NASD and the SEC. Incorporated the necessary changes without compromising the usefulness of the material. Completed projects within the designated time frame on a consistent basis. Offered advice and assistance to the Advertising, National Sales and branch areas of the private client group.

Reviewed sales material to ensure it complied with the rules established by the regulators and the firm's policies. Created a 10-point guide designed to inform branch managers of the department's function. Managed supervisory training module.

Designed and implemented retirement plans for individuals and small business. Obtained clients by conducting presentations and cold calling. Acquired many business and individual accounts. Established an excellent reputation for sound advice and service. NON FINANCIAL INDUSTRY

B.S, Industrial Technology

A.O.S, Electrical Construction And Maintenance