Communicates, describes, supports, and discusses findings of supervisory events with Reserve Bank and supervised institution management.
June 21, 2022
Assist in the development and implementation of an effective compliance program designed to comply with applicable SEC, FINRA and MSRB rules and regulations.
October 22, 2022
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.
January 10, 2023
Leads and manages supervisory events, including determining scope, rating, resource needs, and work assignments.
February 13, 2023
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.
March 31, 2023
Prepares reporting schedules on numerous detail tasks areas, including concentrations of assets in a particular area, rate sensitivity analysis, liquidity and funds management, and premises and equipment.
April 14, 2023
Participate in key industry trade associations, committees and working groups and maintain collaborative relationships with relevant regulators, including the SEC and FINRA.
April 18, 2023
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.
April 19, 2023
Attends meetings and conferences with top-level management of firms to obtain information, resolve discrepancies, and report findings.
April 20, 2023
Documenting controls tested and issues discussed during the exam and preparing written reports outlining the results of the examination work performed.
April 27, 2023
