Veronica Kuznetsov Email & Phone Number

Orange County, California Area

Greater Los Angeles Area

• Investment advisory subject matter expert to more than 1,000 investment advisor representatives nationwide with assets under management in excess of $8 billion.
• Responsible for surveillance of the Firm’s advisory business, including representative managed portfolios, third party asset managers, and outside Registered Investment Advisers.
• Analyzed exception reports to identify and mitigate Firm risk.
• Provided education and training to ensure compliance with state and federal rules and regulations and Firm policies and procedures.
• Regularly worked directly with the Chief Compliance Officer and Vice President of Compliance on a variety of projects related to regulatory initiatives.
• Reviewed updates or changes to SEC and state regulations and update policies and procedures as necessary.

Greater Los Angeles Area

• Lead examiner on the team responsible for conducting examinations of approximately 800 offices nationwide to ensure the ongoing compliance of more than 1,300 registered representatives.
• Analyzed trade blotters and investor profiles in advance of branch examinations to identify potential sales practice violations, other red flags, or violations of Firm policies.
• Educated field representatives and support staff regarding regulations and Firm policies, procedures, and compliance requirements.
• Interviewed registered representative(s) and staff to ensure the Firm’s understanding of the branch business model.
• Led exit meeting with Person in Charge to present findings and address required corrective actions.
• Prepared summary reports that detailed findings and concerns identified during the examination and escalated examination findings to senior management as necessary.

Orange County, California Area

• Organized and maintained branch books and records to ensure compliance with broker-dealer and regulatory requirements.
• Responsible for managing relationships with high net worth clientele.
• Prepared, processed, and tracked new accounts, transfers, contributions, and distributions to ensure efficient and successful completion of all transactions.
• Generated investment proposals to be presented to clients.
• Streamlined and automated billing process for CPA firm.
• Managed billing process for CPA firm, including generating invoices on a monthly basis, posting and recording accounts receivable data, and maintaining all records within the accounting practice management software.

Orange County, California Area

• Conducted examinations of registered branch offices to determine compliance with securities regulations and applicable firm policies and procedures.
• Interviewed Person in Charge and conducted exit meeting to present findings and regulatory concerns noted during examination.
• Prepared written reports that detailed the findings and concerns identified during the examination.
• Reviewed branch examination responses for completeness and followed up with representative in charge as necessary.
• Provided ongoing compliance education to registered representatives and administrative staff through bimonthly compliance meetings, and responded to questions regarding policies, procedures, and regulatory requirements.

Orange County, California Area

• Provided sales support to the President of a top producing independent advisor group.
• Served as lead to administrative team and responsible for oversight of workflow to ensure efficient and successful processing of new business.
• Created and implemented operational training manuals, including business processing and workflow procedures.
• Interviewed, hired, and trained registered and non-registered administrative staff.
• Prepared, processed, and tracked new accounts and service requests to ensure ease and efficiency of transactions through extensive communication with vendors, home office, and clients.
• Conducted investment research for products such as annuities, mutual funds, and real estate investment trusts, and prepared summary comparison reports to assist representatives in making recommendations to clients.

Springfield, Massachusetts Area