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| Desired Industry: Finance/Investment |
SpiderID: 30191 |
| Desired Job Location: San Diego, California |
Date Posted: 11/17/2009 |
| Type of Position: Full-Time Permanent |
Availability Date: December |
| Desired Wage: |
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U.S. Work Authorization: Yes |
| Job Level: Experienced with over 2 years experience |
Willing to Travel: Yes, 50-75% |
| Highest Degree Attained: Bachelors |
Willing to Relocate: No Preference |
Objective:
To be an integral part of a successful Compliance team.
Experience:
2007 – Current LPL Financial
La Jolla, CA
Senior Supervision Compliance Analyst, Designated Principal
-Senior Supervision Analyst personally supervising over 100 Branch Office Managers on a daily basis (Supervising Principal).
-Building personal relationships and becoming familiar with Advisor’s business to properly supervise their activity, while providing exemplary customer service and being an expert resource for all Compliance issues.
-Ensuring that LPL Branch Office Managers adhere to LPL’s rules and regulations in order to ensure that Financial Advisors meet the standards and requirements set by all regulatory agencies.
-Have been an integral part in researching and responding to numerous FINRA, SEC, and State regulatory inquiries and examinations.
-Developing and implementing streamlined supervision procedures.
-Additional Senior Analyst duties have included: Supervising a number of LPL’s largest Branch Offices; researching and resolving escalated issues and exception requests; assisting management with team workflow; writing policies, procedures, and Advisor Alerts; acting as a lead on departmental projects; conducting meetings; and mentoring and training team members.
-Leading investigations into questionable sales activity including: performing business practice reviews, applying sanctions, and terminating Advisors that pose a risk to the firm.
-Daily analysis and approvals consist of: daily trade blotter, correspondence review, actively traded accounts, concentrated positions, low-priced securities, mutual fund exceptions, outside business activity review, front-running, anti-money laundering, Alternative Investments, trade corrections, and Variable/Fixed Annuity suitability review and approval.
-Familiar with SEC, MSRB, and FINRA regulatory requirements.
-A top performer on all performance evaluations.
2006 – 2007 First Allied Securities, Inc.
San Diego, CA
Compliance/Supervision Consultant
-Supervision analyst at a top Broker/Dealer.
-Personal responsibilities included supervising: penny stocks, mutual fund surveillances (Switch, Diversification, B and C share limits etc.) market surveillances, monitoring front-running, breakpoint corrections, state registration/transaction violations, DPP approval, 529 Plan approval, Advisor license monitoring.
-Contributed to numerous FINRA and SEC audit responses.
2004 - 2006 LPL Financial
La Jolla, CA
Broker/Dealer Operations Specialist
-Detail oriented and dependable Journal’s Specialist at fast paced #1 independent broker/dealer in the nation.
-Personal responsibilities included: working directly with LPL Financial Advisors in all areas of operations including account maintenance, journal processing, mutual fund corrections and dividend readjustments, margin operations, anti-money laundering monitoring, verification of client deposits, and running of the department’s document imaging workflow.
-Aided in restructuring and streamlining the Journal’s department and its procedures as the company has developed and changed.
Education:
2000 - 2004 University of California, San Diego
La Jolla, CA
Bachelor of Arts, Major in Communications
-3.5 Overall GPA
-Provost’s Honors
Affiliations:
Series 7,24,63
Skills:
-Excellent writing skills including: procedures, Advisor Alerts, newsletters, notices, essays, and supervisory correspondence.
-Type 45 wpm.
-Microsoft Windows XP, Excel, Access, and Word.
-Financial Services programs including: Beta Systems ILX/TPX, Stellent IBPM imaging software, Captiva imaging software, PeopleSoft’s Vantive, LPL’s BranchNet, DST Vision and Advisor Central mutual fund account maintenance, and Blue Frog’s Annuity Order Entry (AOE) system.
-Bear Stearns, Pershing, and Wells Fargo Clearing Services programs.
-Computer hardware skills including extensive knowledge of PC components, and the building and networking of Windows based PCs
Reference:
Available upon request.
Candidate Contact Information:
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