Growing Your Business
Previously held a Compliance Manager role at an institutional broker-dealer working specifically in Corporate Compliance. My main projects of focus were the onboarding of registered representatives (working closely with HR to create a seamless process), working on exchange memberships for the firm, creating policies and procedures surrounding the compliance of registered rep activities, updating and maintaining systems to capture outside business activities/private securities transactions, documenting various firm and rep disclosures with FINRA regulators on the firm's Form BD.
FINRA Series 7, 63, 24 licensed, NFA Series 3 licensed
I would like to assist with creating a smooth compliance process, fix existing issues that have been missed, no gaps policies and procedures, assisting HR departments to help the onboarding of reps (regarding licenses, any disclosure items on a reps application, creating an onboarding process from a Compliance perspective) and capturing proper information that is required to be obtained by regulation. I can also assist with projects that help develop or modify procedures to improve operations and compliance; projects related to the registration of the firms registered reps and/or the firms exchange memberships.
College football fanatic!
To talk with this pro, simply select a time and click "Book This Pro"