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.
• 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.
• 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..
• Reviewed and determined pre-hire qualifications and investigated background disclosures for proposed administrative personnel and registered representatives; Form U4 and U5 registration filings.

• 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.