Thomas Meringolo Email & Phone Number

Delray Beach, FL, US

San Diego, CA, US

• First line supervisory responsibility to conduct due diligence review on high risk registered representatives before they join LPL and non-licensed associates with prior registration histories, office sharing.
• Review requests for outside business activities & private securities transactions.
• Interact with advisors, business consultants and various internal departments as well as senior level of management in fully evaluating and communicating compliance determination, as well as, coordination of special.

• Developed and implemented transactional, periodic, and forensic testing programs to assess the adequacy of the firm’s policies and procedures while implementing corrective actions as identified by the testing programs.
• Conducted annual compliance reviews with detailed analysis of existing/proposed regulation and industry practices within the specialty area of expertise and implement procedures to meet these requirements.
• Reviewed marketing and presentation materials and Advise on AML, KYC, and related FCPA matters.
• Prepared and maintained regulatory filings (Form ADV and Form PF).
• Monitored the Code of Ethics (personal securities trading/reporting), Gifts and Entertainment, and Political Contribution policies.
• Assessed inherent risks and conflicts of interests in their respective business lines.

New York, NY, US

• Processed quarterly and annual compliance testing reports on broker dealers and registered investment advisors monitoring the effectiveness of the firm’s compliance and risk program.
• Drafted and updated Rochdale, Inc. policies and written supervisory procedures (WSPs) to stay in line with parent company City National Bank while also staying in compliance with SEC and FINRA regulations.
• Ensured compliance with FINRA Rule 3110 and 3120 verifying adequate supervisory controls were in place.
• Identified and reported current and potential violations of The Investment Advisers Act of 1940, The Investment Company Act of 1940, The Securities Exchange Act of 1934, and The Securities Act of 1933.
• Reviewed sales, marketing and promotional material for compliance with FINRA, SEC and firm policy requirements. These reviews consisted of content, proper disclosures, and suitability for the target audience. Performed.
• Processed all internal and external KYC and due diligence requirements on counterparties and clients, including but not limited to: onboarding, periodical review and updates, relationship terminating.

New York, NY, US

• Managed Wealth Management Lessons Learned audit remediation programs from start to finish while drafting and reviewing risk-based program policies and procedures. Conducted monthly Risk Management meetings with.
• Conducted RCSA’s when operational risk department policies were internally identifyed as not being practiced by the business control units. Ensured accuracy of reported issues while identifying operational risk.
• Reviewed and made certain Financial Advisor created sales, marketing, and promotional materials conformed to FINRA and SEC regulations while following firm policies in order to mitigate risks.
• Supported the firm's social networking initiatives by reviewing financial advisors’ profiles, status updates, electronic communications and tweets identifying policy violations that could lead to risk events.
• Processed surveillance reviews and approvals of outside business activities and private securities transactions.

London, GB

• Processed Code of Ethics and AML trade reviews and created tracking logs with patterns of broker dealer and registered investment advisor trading activity to identify and prevent conflicts of interest and the misuse of.
• Completed weekly surveillance reviews on securities trading activity in investment advisory accounts in order to identify unsuitable AML options transactions, fee-based commissions charged, FX activity, and.
• Monitored clients’ investment advisor and broker dealer accounts with surveillance reviews for possible manipulation of assets under management (AUM).
• Processed Know Your Customer (KYC) clearance under USA Patriot Act.
• Created monthly surveillance reports that identified patterns of gains and losses within investment advisory portfolios.

New York, NY, US

• Investigated qualifications and suitability of corporate and independent broker dealers before approving requests to practice as investment advisory representatives.
• Confirmed Licensing and State Registration requirements before processing U4 / U5 Amendments for new and existing employees requesting Investment Advisory registration.
• Processed surveillance of pre and post Institutional sales transactions with focus on conflicts arising from trade allocation and investment research.
• Identified and reported current and potential violations of The Investment Advisers Act of 1940, The Investment Company Act of 1940, The Securities Exchange Act of 1934, and The Securities Act of 1933.
• Performed due diligence on advisors’ Non- Discretionary Investment Advisory and Financial Planning requests.
• Conducted surveillance on registered advisor activities including AML and trends with the following investments: Variable Life, Variable Annuities, Fixed Income, Unit Investment Trusts, Mutual Funds, and Stock.