Communicates, describes, supports, and discusses findings of supervisory events with Reserve Bank and supervised institution management.
April 03, 2020
Attends meetings and conferences with top-level management of firms to obtain information, resolve discrepancies, and report findings.
April 06, 2020
Support regulatory exams according to documented compliance procedures, including facilitation of document production, periodic status updates, interaction with regulators and examiners, meeting facilitation, and other logistical matters.
April 20, 2020
Assist in the development and implementation of an effective compliance program designed to comply with applicable SEC, FINRA and MSRB rules and regulations.
May 01, 2020
Develop and conduct various compliance training presentations/sessions for ECM including the annual compliance meeting with all registered individuals within ECM in order to fulfill regulatory requirements and maintain a well-informed and educated staff.
May 09, 2020
Examines records of assets such as cash and accounts due from institutions, investments, loans, real estate, and equipment to verify accuracy and composition of data provided in financial statements.
May 21, 2020
Documenting controls tested and issues discussed during the exam and preparing written reports outlining the results of the examination work performed.
May 24, 2020