Tremain Williams Email & Phone Number

Philadelphia, Pennsylvania, United States

Edison, New Jersey

• Performed daily surveillance of securities transactions from trade reports of various sources for suitability and/or regulatory concerns to ensure accordance with Rule 2111. • Reviewed and responded to all regulatory requests, customer complaints (mutual funds, variable annuities, variable life insurance and whole life insurance), inquiries, and issues in conjunction with Legal and Internal audit. Prepared, collected, and organized the required material for onsite FINRA and SEC exams, complaint responses as well as ad hoc regulatory requests (NYC, State, Federal). Provided responses via FINRA Gateway portal.• Traveled to sales offices and conducted annual and special compliance inspections by reviewing the books and records, interviewing personnel, and observing day-to-day operations in the office.• Provided guidance on federal securities laws and regulations to Foresters’ field sales force and in-house home office personnel. Maintained operative compliance policies, including WSPs, Branch Compliance Manuals, conflict management, outside business activities and gifts and entertainment policies.• Conducted special reviews and investigations of alleged violations of company policies and/or securities rules.Collected all statements and relevant documentation and evidence pertaining to internal investigation. Furnished results to management via memorandum for final determination.• Reviewed and determined pre-hire qualifications and investigated background disclosures for proposed administrative personnel and registered representatives; Form U4 and U5 registration filings.• Enforced the Electronic Communications policy by conducting ongoing and targeted reviews of e-mail correspondence and other postings to/from employees of the firm.• Provided comprehensive written and verbal reports to management, including, but not limited to, surveillance, investigations, and sales offices inspections

Site: Johnson & Johnson Health Care Systems• Secured premises by performing tours and reporting abnormalities or suspicious activities.• Monitored several CCTVs and Fire Panels while facilitating control of the premises.• Provided touchdown spaces to personnel in need and informed hosts of visitors and their arrival.• Answered emails and phone calls in a timely and professional manner.

-Helped students and other guests with directions and any other information about the campus-Assembled and disassembled equipment for events in or around the Student Center-Facilitated the progress of all events in or around the Student Center-Managed the operations of the computer laboratory in its entirety-Oversaw facilities during evening and weekend hours-Assisted with the supervision and training of new hires-Assisted with conducting interviews