Vincent Neal Email and Phone Number
Vincent Neal work email
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Vincent Neal personal email
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Vincent Neal phone numbers
Creative. Driven. Innovative. Detail-Oriented. Seasoned Professional with over twenty years in the brokerage industry and twelve plus years as an Advertising Compliance Analyst.. After extensively training other advertising analysts, I recognize the value of robust team and understand how to leverage and encourage the individual strengths of each member. As a result, I am extremely passionate about serving and encouraging my colleagues and determined to help them embrace and overcome challenging situations. I truly believe that fostering an environment where employees can grow, learn and take pride in their roles positively impact a company.• Created the Advertising Training manual and Advertising Quick Reference Guide • 30 years of public speaking and attended different National Conferences, giving presentations, as well as taking the lead in training workshops, as well as sitting in on Q and A panels• Built strategic relationships with advisers, third party vendors, including Faulkner Media Group, Marketing Pro, Broadridge (Emerald and Forefield), Advisor Websites, Advisor Stream, Advisor Products, Michael Higley, Nick Murray, Carson Consulting, Smarsh, Sungard Protegent, and several others. • Ability to work under time sensitive conditions• Experience with filing material with FINRA• Understanding of investment products and balancing language discussing them• Assisting with regulatory inquiries• Serve as a liaison and subject matter expert for corresponding departments, such as Brokerage Compliance, Investment Advisory Compliance and Supervision• Over 12 years of experience in educating Financial Advisers and their assistants to FINRA Rules, SEC and other regulatory guidelines •Selected to represent Advertising Compliance by traveling for a “Root Cause Analysis”, a retention process, in addressing the business concerns of a Financial Adviser•Management and supervisory skills in hiring, training, providing support, and dealing with individuals on a professional and non-professional basis.- Experience with programs such as Laserfiche, Compliance Max, Smarsh and Erado
Commonwealth Financial Network
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Compliance Analyst, Compliance SolutionsCommonwealth Financial Network Jan 2024 - PresentWaltham, Ma, UsUsing technical and compliance knowledge to test applications and vendors to ensure continuous adherence to regulatory and firm standards.Maintaining documentation to support institutional knowledge of technology applications and vendors.Documenting test plans, results, and remediation efforts.Investigating and tracking reports of technology issues from business owners and prioritizing reported issues based on regulatory impact and risk exposure.Communicating with vendor product representatives, internal stakeholders, and subject-matter experts throughout testing, evaluation, and issue resolution.Collect, analyze, and advocate for automation use cases with the goal of improving compliance efficiencies.
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Compliance Advisor, Advertising ReviewCommonwealth Financial Network Dec 2021 - Jan 2024Waltham, Ma, UsReviewing and providing feedback on advertising submissions from advisors and corporate marketing to ensure compliance with state and federal regulations, as well as firm policyServing as a resource and consultant to home office employees and advisors by providing guidance on applicable policies, risks, and regulations, while also working collaboratively to find solutions and offer alternativesContributing to high-priority projects on an as-needed basisParticipating in team discussions on rule and policy interpretation and regularly contributing to process improvements
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Senior Advertising AnalystAdvisor Group Aug 2020 - Dec 2021Phoenix, Arizona, UsReview and approval of financial advisors marketing material -
Senior Advertising Compliance AnalystIndependent Financial Group, Llc Sep 2019 - Aug 2020San Diego, California, UsReview marketing and advertising material for financial advisors -
Senior Advertising Compliance AnalystFirst Allied Securities, Inc. Mar 2014 - Sep 2019San Diego, Ca, UsTo review and ensure compliance for all advertising material before distribution to the public per FINRA, SEC and broker dealer standards/. This includes business cards, form letters, brochures, seminars, radio shows...etc...etc.. -
Marketing Regulatory Review AnalystLpl Financial Sep 2011 - Mar 2014San Diego, Ca, UsTo review and ensure compliance for all advertising and sales literature before distribution to the public per FINRA and broker dealer standards/. This includes business cards, letters, seminars, radio shows, commercials and non securities related items. I also assist in providing support to Supervision and other Compliance Departments. -
Advertising Compliance AnalystAig Advisor Group Sep 2007 - Sep 2011Phoenix, Arizona, UsAdvertising Compliance Analyst – To review and ensure compliance for all advertising and sales literature before distribution to the public per FINRA and broker dealer standards/. This includes business cards, letters, seminars, radio shows, commercials and non securities related items. I also perform due diligence on suggested professional designations to determine their use pursuant to FINRA and firm regulatory requirements. Additionally, I research unappproved advertising in violation of firm and regulatory standards, which includes websites, all sales literature and advertising.
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Advisor Support / Customer Service RepresentativeAig Advisor Group Sep 2006 - Sep 2007Phoenix, Arizona, UsHandle and take ownership of in bound calls from representatives in the field concerning various aspects of service, including brokerage account requirements, check issuing, licensing and registration, commissions, transfers, and other product related inquiries.
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Financial Serivce RepresentativeMetlife Financial Services Jan 2005 - Aug 2006New York, Ny, UsGeneral sales of insurance products, including life, disability, long term care and health insurance. Also involved in opening and establishing brokerage accounts, addressing customer concerns, performing trades, updating account information and assisting the Sales Director. -
Transfer Of Accounts Sim Support SpecialistCharles Schwab Sep 2003 - Aug 2004Westlake, Texas, UsProcess the transfer of assets (cash, stocks, bonds, cds) including shares that are traded, whether full or partial transfers in a timely manner. Involved contacting various other firms to fulfill their requirements regarding transfers. This would also include following up to ensure that the clients requests were fully met. -
Operations Specialist IiCharles Schwab Nov 2000 - Sep 2003Westlake, Texas, UsReceiving, sorting and processing mail, processing incoming checks, performing wire transfers, investigating fraud claims. Acting as a liaison between the branches, answering their questions and servicing their clients. Entering and setting up account s through MARS, OMNI, ACS. Using imaging machine to track work. Data entry, Indexing, auditing. Deposit error research (searching for lost checks that were sent in but never accounted for.)
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Letter Carrier/ First Line SupervisiorUnited State Postal Service Jan 1984 - Nov 2000Sort, organize, and deliver letters, periodicals, and packages. Be diligent, courteous, and prompt in my duties. Operate a hand held scanner to track and locate high profile items.In my capacity as supervisor, I would supervise carriers and clerks, maintaining the regular flow and delivery of mail, handling disciplinary matters, and conducting weekly safety meetings. I would also schedule and assist letter carriers and clerks in the performance of their duties. Conduct weekly instruction and safety talks.
Vincent Neal Skills
Vincent Neal Education Details
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Scottsdale Community CollegeGraphic Arts -
Mesa Community College
Frequently Asked Questions about Vincent Neal
What company does Vincent Neal work for?
Vincent Neal works for Commonwealth Financial Network
What is Vincent Neal's role at the current company?
Vincent Neal's current role is Compliance Analyst, Compliance Solutions - Commonwealth Financial Network.
What is Vincent Neal's email address?
Vincent Neal's email address is vi****@****lpl.com
What is Vincent Neal's direct phone number?
Vincent Neal's direct phone number is (800) 499*****
What schools did Vincent Neal attend?
Vincent Neal attended Scottsdale Community College, Mesa Community College.
What skills is Vincent Neal known for?
Vincent Neal has skills like Securities, Finra, Series 7, Series 63, Mutual Funds, Investment Advisory, Finance, Series 24, Insurance, Uniform Combined State Law, Investments, Relationship Management.
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