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Manager Training

Location:
Hoboken, NJ
Posted:
February 26, 2015

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Resume:

Wannetta Price

***-** ***** ******, *******, NY 11434

Cell: 985-***-****; E-mail: acohnl@r.postjobfree.com

PROFESSIONAL EXPERIENCE

J.P. Morgan Securities LLC 10/2014 -

Present

Central Compliance, Licensing and Registration, Consultant

Manage and monitor all aspects of FINRA Licensing and Registrations

for 4,000 registered representatives, which included Form U4's, Form

U5's, and Disciplinary Reporting Pages for two broker dealers.

Manage and monitor all NFA Registrations which include Form 8Rs and

8Ts. Coordinate and monitoredethics training with NFA and vendor

Organize fingerprint process with GS&I and individuals directly.

Create Branch Offices and Branch Managers through WebCRD.

Maintain spreadsheet of individuals for follow-up and completion.

Prepare weekly metrics of new joiners and transfers.

Responsible for overseeing tracking of overall compliance functions in

coordination with registered representatives which included annual

attestations, outside business activities, daily exam notifications,

pending and new joiners registration tracker, 15a-6 documentation

including issuing surveys and managed weekly metrics for the group and

assisted the Head of US registrations; Work on ad-hoc projects as

needed.

Barclays Capital Inc., New York, NY 10/2013

- 03/2014

Central Compliance, Consultant

Managed and monitored all aspects of FINRA Licensing and Registrations

for 4,000 registered representatives, which included Form U4's, Form

U5's, and Disciplinary Reporting Pages.

Managed Canadian licenses for IIROC registered representatives.

Manage and monitor all NFA Registrations which include Form 8Rs and

8Ts.

Coordinated and monitored ethics training with NFA and vendor.

Responsible for overseeing tracking of overall compliance functions in

coordination with registered representatives which included annual

attestations, outside business activities, branch registrations, daily

exam notifications, pending and new joiners registration tracker, 15a-

6 documentation including issuing surveys and managed weekly metrics

for the group and assisted the Head of US registrations; Worked on ad-

hoc projects as needed.

National Bank of Canada Financial Inc., New York, NY

04/2006 - 04/2013

Compliance Associate

Provided high level support to the Chief Compliance Officer and senior

management on all compliance matters which included day to day

compliance functions, compliance projects, product and services

development and equity and fixed income transactions.

Handled and monitored all aspects of FINRA licensing and registrations

for Form U4's, Form U5's Form BD, blue sky registrations and all

related forms and schedules and Disciplinary Reporting Pages: Super

Account Administrator for FINRA's Web CRD system.

Conducted the annual Continuing Education Program needs assessment for

the firm which included creating the annual plan, interviewing

supervisors, outlining required training, indentifying objectives,

scheduling training and documenting the process.

Managed all training records for the firm.

Responsible for implementing and overseeing tracking of overall

compliance functions in coordination with registered representatives

which included Annual Compliance Meeting, annual attestation, e-

communications monitoring, reviewing employee personal brokerage

accounts, pre-clearance of employee trading, private investments,

outside business activities and gifts and entertainment.

Reviewed and maintained all new customer account files.

Engaged in the Firm's AML, OFAC, KYC and FinCEN compliance.

Actively engaged in internal and external audits, which included SEC,

FINRA, OCC and OSFI.

Participated in the development, testing, reviewing and implementation

of compliance systems, written supervisory procedures and operating

manuals.

Assisted and coordinated with HR the new associate and analyst

training program.

KCG Americas LLC, LP, Jersey City, NJ, 09/2003-

10/2005

Assistant Vice President

. Managed and monitored all aspects of the SEC, NASD and states

securities licensing of the Firm, which included the broker-dealer and

its subsidiaries.

. Responsible for the NASD Annual Renewal of the firm, Branch Offices &

Registered Representatives.

. Account Manager for Web CRD and Web Focus Form Filing.

. Corresponded with regulators in areas relating to arrest records,

disciplinary events and waiver requests.

. Conducted Needs Analysis of the Firm Element for the Continuing

Education Program.

. Implemented, administered, monitored and documented the Continuing

Education Program for both the Regulatory Element and the Firm

Element; Conducted the annual NASD Annual Compliance Interview.

. Maintained the integrity of data in the Firm's internal compliance

registration database.

. Assisted in responding to regulatory inquiries and regulatory

examinations.

Assisted and coordinated with HR the new associate and analyst

training program.

. Responsible for the orientation of new employees to certain compliance

topics.

TD Securities (USA) LLC, New York, NY 11/1988-

09/2003

Registration Officer/Compliance Administrator

. Managed and monitored all aspects of the SEC, NASD and state

securities licensing of the Firm, which included the broker-dealer,

the investment bank and its employees.

Responsible for the NASD Annual Renewal of the Firm, Branch Offices &

Registered Representatives.

Account Manager for Web CRD application and Web Focus Form Filing for

Reg. T Extensions and Customer Complaints. Established, monitored,

implemented and documented Continuing Education Program for both the

Firm Element and Regulatory Element.

Conducted branch examinations and branch visits.

Knowledge of NYSE rules and regulations.

Point of contact for NASD, Federal Reserve and Shared National Credit

audits.

Assisted and coordinated with HR the new associate and analyst

training program.

EDUCATION

Metropolitan College of New York, New York, NY (1992)

Master of Science, Administration

University of Louisiana, Lafayette, LA (1987)

Bachelor of Arts, Political Science



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