Manager Sales

Richard Briggs

Email: abp2c4@r.postjobfree.com

Address: *** ******** ****

City: Timonium

State: MD

Zip: 21093

Country: USA

Phone: 410-***-****

Skill Level: Director

Salary Range: $100,000

Primary Skills/Experience:

See Resume

Educational Background:

See Resume

Job History / Details:

RICHARD R. BRIGGS

203 Locknell Road, Timonium, MD 21093

abp2c4@r.postjobfree.com * 410-***-****

*REQULATORY COMPLIANCE EXPERT*

Highly ethical, results driven financial professional seeking to apply extensive experience and

knowledge within the financial and investment industries. Seeking to assist in the growth and

development of a firm`s overall compliance program. Strong comprehension of regulatory compliance

requirements and rules including

Sarbanes-Oxley, Anti-Money Laundering and FINRA`s new suitability rule. Demonstrated core skills

include:

New Broker/Dealer Registration

Annual Branch Office Inspections

OSJ Supervisory Manager

FINRA 1017 Filings and Management

Implementing In-Firm Education

Annual Regulatory Filings

Broker/Dealer Back-office Operations

Supervision of Operational Staff

Ins. Licensing and Securities Registration

PERFORMANCE HIGHLIGHTS

Directed the initial FINRA Member application for independent broker/dealer and registered investment advisor and creation of firm`s written supervisory procedures.

Served on the FINRA Year 2000 readiness team by conducting broker/dealer inspections and business continuity training for Y2K preparedness for firms throughout the country.

Developed and implemented internal compliance inspection procedures for a wirehouse firm`s branches and options trade desk.

Created a paperless technology driven compliance records management system branch reporting.

PROFESSIONAL EXPERIENCE

Brokerage Consulting Services, Baltimore, MD

2012 - Present A full service securities consulting firm that provides a complete range of compliance solutions for firms in any phase of FINRA Membership or SEC

Registration.

MANAGING DIRECTOR

Dedicated to providing full service compliance consulting services to all types of Financial Industry entities, including: FINRA Registered Broker/Dealers, NFA Introducing Brokers, Registered

Investment Advisors and Securities Attorneys. Some services include:

Serving as Compliance or FinOp Principal Firm Audit

New FINRA Membership Applications Filing of SEC ADV I, II and IIb

Anti-Money Laundering Audits Business Continuity Plans

Annual Compliance Requirements Social Media Consulting

Founders Financial Securities LLC, Towson, MD

2005 - 2012: An independent broker/dealer and registered investment advisor.

CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER

Founding CCO and COO, responsible for the initial FINRA application for Broker/Dealer Membership and SEC Advisor Registration. Created and implemented all of the Firm`s compliance policies and

procedures as it relates to FINRA, State, and Federal regulatory rules and regulations. Managed the broker/dealer`s paperless back office operations while supervising staff, both onsite and

offsite.

Responsible for the providing operational support issues (e.g. - commission, business process, licensing and registration, insurance appointments).

Conducted annual compliance meetings and in-firm education.

Daily review and approval of all new accounts, sales materials, correspondence, and advertisements.

Created the Anti-Money Laundering procedures.

Served as the OSJ manager for 36 branch locations and 65 registered representatives across the country.

Deutsche Bank Alex. Brown, Baltimore, MD

2000 - 2005: National recognized investment banking and brokerage services firm for private wealth and asset

management.

COMPLIANCE OFFICER/OPTIONS PRINCIPAL, VICE PRESIDENT

Provided compliance support to the fifteen private client group branches. Conducted daily, weekly and monthly review of trade related surveillance reports. Supported the Firm`s Options Trade Desk

with regular oversight and annual department inspection.

Designated as the compliance department Business Continuity Officer.

Compliance designee on the transition team to convert the firm from a fully clearing broker/dealer to utilizing Pershing as the new clearing firm.

Partnered with the legal staff to create an international compliance policy for dealing with foreign nationals.

Initiated the social media and personal digital assistant task force to determine regulatory impact on sales force and the firm`s books and records.

Financial Industry Regulatory Authority, Inc., Rockville, MD

1999 - 2000: (f/k/a National Association of Securities Dealers)

A private corporation that acts as a self-regulatory organization (SRO) for the securities industry

and is the successor to the National Association of Securities Dealers, Inc. (NASD).

SENIOR BUSINESS ANALYST

Performed business analysis reviews of member technology and Y2K business readiness programs:

including examination of business and technical operations, contingency planning, and Y2K progress.

Planned and conducted risk analysis functions in support of NASD`s Year 2000 objectives including technical training and education programs in major cities around the country. Monitored member

regulation technology projects to ensure that subject matter experts provided the appropriate expertise on schedule, reviewed user acceptance scripts, and coordinated necessary training.

Identified and recommended general and application level controls to ensure overall reliability for information collection.

Planned and executed Y2K exams nationwide with major concentration on technology and business continuity readiness.

Served on a NASD District quick reaction team that remained on call during the Y2K rollover in NASD western region district office observing and anticipating any member Y2K issues.

EDUCATION & LICENSES Bachelor of Science, Political Science

JAMES MADISON UNIVERSITY, Harrisonburg, VA

FINRA Series 4, 6, 7, 9, 10, 23 and 63, 99 Licenses

COMPUTER SKILLS

Word, Excel, Access, PowerPoint, SmartOffice, Investigo, RegEd, LaserApp

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