Ben Weis Email & Phone Number

San Antonio, Tx, Us

San Antonio

San Antonio, Texas Area

San Antonio, Texas Area

• Handled FINRA, SEC and State regulatory inquiries. • Compliance lead for Internal and Regulatory Audits.• Assisted operational areas with development of written supervisory procedures, policies and RCSAs.• Worked with Fraud/AML departments for transaction monitoring, report surveillance, and SAR filings. • Provide advice and guidance on regulatory matters.• Conducted reviews over operational areas to ensure compliance with internal policies and regulatory rules.• Reviewed new brokerage laws and regulations to determine impact and ensure compliance by effective date. • Review/validate operational data submitted to the Finance group for regulatory filings (FOCUS, Reserve).• Handled escalated operational processing issues and breaks, to resolve and prevent future occurrences. • Lead projects for process improvements and implementation of new processes. • Supervised and trained staff on, how to handle customer related account problems and disputes.• Supplied Senior Management with weekly activity reports and monthly reports for Executive Monthly Business Meeting. • Knowledge and experience of Control Persons and 144 paper-work. • Experienced in streamlining of reports and creating macros to increase efficiencies of operation departments.• Validate Electronic Blue Sheet (EBS) submissions to regulatory bodies to ensure completeness of data.

San Antonio

• Handled FINRA, SEC and State regulatory inquiries. • Operations lead for Internal and Regulatory Audits.• Assisted operational areas with development of written supervisory procedures, policies and RCSAs.• Provide advice and guidance on regulatory matters.• Conducted reviews over operational areas to ensure compliance with internal policies and regulatory rules.• Reviewed new brokerage laws and regulations to determine impact and ensure compliance by effective date. • Review/validate operational data submitted to the Finance group for regulatory filings (FOCUS, Reserve).• Handled escalated operational processing issues and breaks, to resolve and prevent future occurrences. • Lead projects for process improvements and implementation of new processes. • Supervised and trained staff on, how to handle customer related account problems and disputes.• Supplied Senior Management with weekly activity reports and monthly reports for Executive Monthly Business Meeting. • Knowledge and experience of Control Persons and 144 paper-work. • Experienced in streamlining of reports and creating macros to increase efficiencies of operation departments.• Validate Electronic Blue Sheet (EBS) submissions to regulatory bodies to ensure completeness of data..

Richmond, Virginia Area

• Supervisor of Regulatory Validation group who’s tasks include:o Review/validate regulatory rules and Operational Department data submitted to the Finance group for regulatory filings (FOCUS, Reserve).o Create/validate off-shored process controls.o Validate Electronic Blue Sheet (EBS) submissions to regulatory bodies to ensure completeness of data.o Act as liaison for Internal/External examinations and take lead on creation of remediation and testing of corrective actions by Operational Departments.o Review proposed new rules and regulations that may affect operational data supplied for FOCUS/Reserve filings.o Create/Review SOX (Sarbanes-Oxley Act) controls for testing needs and segregation of duties.

San Antonio, Texas Area

• Supervised and trained staff on, how to handle customer related account problems and disputes.• Responsible for year-end employee evaluations and reviews. • Knowledge and experience in advanced initial and maintenance calculations/requirements of equity securities, mutual funds, Corporate Bonds, Treasuries, Municipals, and all option strategies.• Supplied Senior Management with Weekly Activity Reports and monthly report for Executive Monthly Business Meeting. Participated in monthly/quarterly Credit Committee meeting. • Facilitated Employee Stock Option Plans. • Knowledge and experience of Control Persons and 144 paperwork. • Streamlining of reports and creating macros to increase efficiencies in the margin department and other operation departments.• Participated as brokerage Subject Matter Expert on projects;o “Single Investment Account” (SIA) to combine USAA mutual funds into USAA Brokerage accounts. o Day Trading Reports and WEB requirements.o Conversion of brokerage money market funds to in-house company owned funds. o Redesign of Brokerage Statements.o Brokerage Cost Basis.o WEB trading requirements redesign. o On-Demand money movement to enable customers to move money between eligible accounts. o Calculation of Brokerage Funds Available to withdrawal, developed formula for calculation.• Knowledge and understanding of other brokerage operation areas in the firm (IRA’s, ACATS, Dividends, Corporate Actions, Securities Transfer, Cashiering, Dealer Clearance, Mutual Funds, Security Master).• Trained employees on Regulation T, 15c3-3, advanced option strategies, initial and maintenance requirement calculations, Regulatory restrictions (free-rides, fail to pay, excessive extensions).• Participated in Internal and NASD Regulatory Audits.

Greater Milwaukee Area

• Provided customer service, risk management, and enforced BNY Clearing, FRB, NASD, SEC and NYSE rules and regulations.