Licensing and Registration for B/Ds and Individuals including State Registrations, 4530 Reporting, Reg M and Private filings, 8210 inquiries, and online examinations. NMA/1017 Applications. Restricted Securities, CE Programs Edit and update WSPs Develop privacy policies, Advertising and Correspondence Review Annual Compliance Meetings Annual 3120/3130 Testing . Perform annual AML Reviews. Mock FINRA Branch Audits.

CAT/CAIS REVIEW/SUPERVISION
ACCOUNT APPROVAL – MFs, VAs, Alternative Investments, ETF’s and Options
REVIEW AND CORRECTIONS OF/TO
MF Purchases (Managed), Switches, and Commissions, maintained required Switch letters
ETF purchase review – RIA/BD, Lev/Inv – set up FINRA testing on subject, maintained required disclosure acknowledgements
UIT purchase review and switches
Individual RR and IA Daily Activity Review for Heightened Supervision, Produce monthly HS audits and reports
Assist in Creation of Review and tracking of Outside Brokerage Accounts and related transactions
Review of daily proprietary account activities
Review of internal Employee and Related account activities and front running
Review of daily trade blotter with a focus on commissions, switching, churning and Penny Stocks/required disclosures and client acknowledgements
Assist with required state registrations, exam requests, new hire registration, and U4 disclosures

Systems Utilized:
Schwab, TD Ameritrade, Fidelity, Docup

CAT/OAT Supervision
Cannabis Stock Research
Convertible Promissory Note Research
Bluesheet review/response
8210/DOJ/SEC/other Gov’t review/response
AML
Wolfsburg Questionnaire
Trade review
FIS/Valdi Review
Proprietary System Access/Review, information retrieval
SAR Referral Review/Filings
Escheatment and Abandoned Property
Deposit review
WSP input/update
CE
Email
Employee Brokerage Accounts
Outside business

• CONDUCTED (ONSITE) 3120/3130 REVIEW AND CERTIFICATION

• Filled in for Chief Compliance Officer for 2 weeks researching and approving new accounts for AI’s and Institutions, as well as Privacy Risk.

• Spent entire month of January preparing firm for FINRA Audit
• FINRA Audit was spotless

FINOP

FINOP- Prepare monthly FOCUS Filings.

Review and dissemination of COR Clearing Reports, AMLCO, FinCen Reviews, written supervisory procedures, retail & institutional account approval and KYC/CIP/OFAC review, liaison with regulators, Regulatory/Firm Element CE. Work with firm's FINOP, Respond to FINRA & SEC Audit Findings. Annual Compliance Meetings, Annual 3120/3130 Testing of Supervisory Controls/CEO Certification

AMLCO, FinCen Reviews, written supervisory procedures, retail & institutional account approval and KYC/CIP/OFAC review, liaison with regulators, Regulatory/Firm Element CE. Work with firm's FINOP, Respond to FINRA & SEC Audit Findings. Annual Compliance Meetings, Annual 3120/3130 Testing of Supervisory Controls/CEO Certification