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Compliance

Location:
Fort Lauderdale, Florida, United States
Posted:
September 15, 2018

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Resume:

Kathy Novick

General Securities Principal, series 9,10,24, 63,65, AML CAMS

Oakland Park, FL

ac62aq@r.postjobfree.com

561-***-****

My most recent job was Compliance Associate at Mass Mutual Ft. Lauderdale, Fl.

I am a certified AML Specialist (CAMS). I have FINRA series 7,9,10, 63, 65 and 24. Florida 215 insurance

Willing to relocate: Anywhere

Authorized to work in the US for any employer

Work Experience

Former Agency Compliance Manager,

MetLife Financial Services - Fort Lauderdale, FL

January 2015 to August 2018

1/2015 -9/2019 : Medical leave

FINRA Arbitration Panelist & Chairperson for the Securities Industry

Read & Heard Customer & Industry Arbitration Cases

April 1992 to January 2016 reviewed legal pleadings, listened to oral arguments, ruled on motions then rendered a verdict on the case.

Agency Compliance Manager

New England Financial Insurance

February 2013 to December 2014

I became dually licensed and registered with MetLife Securities and New England Securities, (a wholly owned subsidiary).

Agency Compliance Manager

MetLife Insurance Company - Fort Lauderdale, FL March 2011 to December 2014

Ensured agency compliance responsibilities and related supervisory requirements were maintained. Managed the client file review process, incoming and outgoing correspondence, the sales material review process, the submission of branch office submission forms, and a system to ensure all new business requirements are submitted timely.

Trained and monitored agency sales and administrative personnel on compliance policies and procedures.

•managed the heightened supervision review and reports.

•Coordinated with Field Compliance Analyst reviewing broker transactions to ensure timely submission, good order and prompt processing of forms and documents so trades can be reviewed and approved on time.

•Reviewed suitability and replacement activity for Annuity, Life, Health, Long Term Care, securities accounts and 529 Plans for New Business Applications and subsequent annuity and brokerage activity

•Managed the Annual Individual Compliance Review process for all registered representatives • Ensured the appropriate supervision of detached locations to include registered brokers and senior partners, performing

Annual Compliance review and Detached Office Site, ensures all required visits are conduced and documented

Maintained the FINRA Files & Agency Personal Files

•Maintained compliance of IAR Advisor Platform, supervisory Meeting Tracker and Drift Reports,.

Maintained system to report U4 disclosures to FINRA Registration department

•Monitored and reviewed Agency disclosure of any outside business activities by registered representatives and all other Agency employees.

•Managed the Sale Material Review System submissions and Compliance submissions,

•Managed Agency compliance with FINRA, state and Company rules related to cash and non-cash compensation,

gifts, political contributions, business entertainment, client appreciation events, seminars, Marketing

Arrangements, sales material.

•Oversaw IAR compliance with ADV Brochure Supplement requirements

•Managed review of the agency sales and administrative personnel are in compliance with Firm policies for Linked in activity

•Performed other duties as assigned or required

Assistant Operations Manager

MetLife Insurance Company

June 2009 to March 2010

Previously Responsible for the Plantation and Coral Gables Branches of Cypress Financial Group

(approximately 120 agents and support staff)

•Reviewed check deposits and Completed Check destruction, set up telephone systems & electronic key system for new agents, re-image (load company software) on all agent's and personal assistant's computers, ordered

office supplies, order business card and stationary

•Responsible for all service related issues for air conditioners, printers, faxes, copiers, water cooler, coffee machine, file cabinets • Administered Signature Guarantees

•email review

•Completed Agent Annual

Compliance Reviews

•Reviewed Outgoing mail

•Reviewed and signed New Business Applications for Life, Health, Annuities, Long Term Care, Securities accounts and 529 Plans.

Servicing Analyst

Imperial Finance & Trading

March 2009 to June 2009

Responsible for reviewing all existing policies in a portfolio of over 400 policies to request and track policy status and Grace Notices from various Trustees, Agents, and Insurance Carriers to ensure all payments are made and allocated to the correct carrier in the allotted time.

•Request approval for the release of funds from the Accounting Department into Trust's accounts for timely payments.

•Follow up with Compliance Team for accuracy and confirmation of payments being sent to Insurance Carriers via the Trustee's office.

Registered Representative

Muriel Siebert & Company, Inc.

April 2004 to April 2008

Handled high volume of phone calls and walk-in clients daily, received & executed customer trades over the phone or in person at my desk. Answered client questions regarding customer statements, mail checks, forms,

duplicate confirmations; research answers to questions pertaining to dividends, stock reorganizations, commissions, etc.

•Provided individual account information with regard to account balances, buying power, positions, history,

Calculated and provided margin requirements, buying power, and give clients available cash balances, debit

balances, house calls, and Fed calls. Help clients understand and execute option strategies, including but not limited to buying or writing covered or naked puts & calls, debit spreads, credit spreads and straddles. Report

executed transactions to client; notify clients of option assignments.

•Opened & processed new account & ACAT documents. Administered & reset personal identification numbers (PIN), link accounts, provide navigation support; trouble shoots various online access and security issues. knowledgeable of Corporations, Partnerships, Revocable & Irrevocable Trusts, and Probate & Estates documents. Open, service Retirement accounts, & calculate minimum distributions. Process all stock certificates, including 144 restricted stock paperwork; review stock inventory reports. • Executed requests and signed client checks. Reviewed printer traffic reports of branch trades. Prepared & inventory documents for overnight FedEx package.

Registered Representative/Branch Manager

Wachovia Securities - Boca Raton, FL

December 2001 to April 2004

•Maintained compliance records & reports for branch

•Sales and service to existing clients and prospecting for new accounts through client referrals and placing

display advertisements in newspapers

•Managed assets of twenty-five to thirty million dollars,

•Provided full service financial planning including but not limited to stocks, corporate & tax free bonds, new issue preferred stocks, mutual funds, annuities, managed wrap accounts; whole life, universal life, and term life insurance contracts.

Registered Representative

H & R Block Financial Services

September 1994 to November 2001

•Full service stockbrokerage firm provided sales and service suited to client's personal financial needs.

•Recommended stocks, bonds, mutual funds, annuities, and wrap accounts.

Education

BA in Philosophy

State University of New York at Binghamton - Binghamton, NY



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