Set up new branch warehouse locations to meet Jasper standards.
October 14, 2022
Create and improve standard processes for all branch locations.
December 11, 2022
Participate in department projects and initiatives with a focus on improving department processes and audit effectiveness.
December 12, 2022
Provide assistance and guidance to registered representatives regarding compliance issues, firm policies and procedures and industry regulations.
December 13, 2022
Train Branch Operation Managers & Support Associates.
March 06, 2023
Respond to verbal and written inquiries and requests.
April 23, 2023
Prepare for audits by reviewing electronic records, past audit findings and branch business practices in order to conduct branch inspections and customized compliance discussions with branch personnel.
April 29, 2023
Assist in the preparation for regulatory examinations, arbitrations.
May 06, 2023
Complete Branch Process audits to verify all branches are in Jasper standard.
May 16, 2023