William Ling Email & Phone Number

New York, Ny, Us

New York, New York, Us

New York, New York, Us

New York, Ny, Us

• Coordinate and mange regulatory examinations by the Securities Exchange Commission (SEC), Office of the Comptroller of the Currency (OCC), Federal Reserve Bank (FRB) and other regulatory agencies and Self-Regulatory Organizations (SRO)• Liaise and interact with the resident OCC and FRB teams including responding to ad hoc requests and participating in ongoing meetings with senior managers• Participate and contribute to the enterprise wide Conflicts of Interest and Sworn Documents projects as part of efforts to remediate regulatory issues/findings. This includes identifying gaps in the existing control framework, developing relevant policies/procedures and implementing controls to address the identified areas of weaknesses• Apprise senior management of regulatory related metrics including the statuses of regulatory examinations, inquiries, submission of documents and regulatory developments. Participate in UAT testing and working groups to enhance the firm’s current regulatory tracking systems • Developed and implemented online and in-person training programs for a variety of topics including Conflicts of Interest

Washington, District Of Columbia, Us

• Conduct examinations and other reviews related to FINRA member firms' finances and operations; sales, underwriting and trading practices; and supervisory and compliance policies, procedures, internal controls and systems to determine compliance with established standards and rule requirements. • Analyze sales practices and investigates customer complaints, terminations for regulatory cause, and activities of broker-dealer personnel to assess fair treatment of customers.• Analyze internal and supervisory controls in key areas of risk and evaluates broker-dealer systems to determine quality, reliability and compliance with requirements.• Assesses adequacy of member firms' financial condition and validates accuracy of regulatory filings, net capital computations and books and records.

New York, Ny, Us

• Prepare the monthly FOCUS Report to FINRA, including the balance sheet, income statement, Net Capital computation (SEA Rule 15c3-1) and the customer debits/credits of the Customer/PAIB Reserve computation (SEA Rule 15c3-3). Review the daily segregation filings with the NFA in accordance with CFTC Rules 1.2 and 30.7 before submission. • Perform variance analysis to identify the key drivers in any changes to Net Capital and communicate these variances to senior management on a weekly and monthly basis. • Interact with the various personnel in Operations, Legal Entity Control and the Futures & Options group to gather and analyze information necessary to perform the weekly Net Capital and Customer/PAIB Reserve computations. • Participate in external examinations by FINRA, the NFA and various other Designated Self-Regulatory Organizations. Responsibilities includes managing and responding to the requests and questions of the Examiners. • Respond to ad hoc questions and requests from the Firm’s regulatory coordinators from various Designated Self-Regulatory Organizations.

London, Gb

• Perform risk re-ratings for over 2400 accounts to assist a leading global banking client comply with the various Anti Money Laundering rules and regulations set by the Federal Reserve and the Office of the Comptroller of the Currency. • Developed sales proposals in pitching IT cost allocation methodologies to a leading investment banking client. • Involved in the Business Advisor Volunteer Committee and led the fundraising and recruitment efforts for the 2011 American Heart Association Wall Street Run & Heart Walk.

Washington, District Of Columbia, Us

• Examined firm's books and records to ensure that all activities are properly recorded and in compliance with SEA Rules 15c3-1 (net capital), 15c3-3 (customer reserve), 17a-3, 17a-4 and various other SEC, NYSE and Self Regulatory Organization rules.• Evaluated internal controls of member firms in key areas of risk to ensure reliability and effectiveness.• Conducted reviews in the following areas: business continuity, floor broker, net capital, operations, possession or control, customer reserve formula, and sales practice.• Prepared written reports and participate in exit meetings to provide firms with information on regulatory concerns revealed during the examination process.• Interact with member firms' operations, trading, compliance, legal, risk management and regulatory reporting management personnel. • Conducted a training session with over fifteen employees regarding SEA Rules 17a-3, 17a-4 and the books and records of a FINRA member firm.

London, London, Gb

New York, New York, Us

New York, Ny, Us

New York, New York, Us