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Compliance Manager/Registration and Licensing

Charlotte, North Carolina, United States
October 24, 2016

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LAVERN E MOORE Cell: 704-***-**** Charlotte, NC 28213

Professional Experience

LPL Financial Compliance Manager/Registration and Licensing Charlotte, NC (6/2013-9/2016)

Responsibilities included the oversight of 9 associates to meet productivity and regulatory requirements for the following areas:

New Client Onboarding – performed due diligence on prospective and existing Financial Advisors utilizing LPL policies, SEC and FINRA rules and regulations including WebCRD, Lexis Nexis and Google search.

Reviewed and analyzed representative’s qualifications in outside business activities, insurance appointments and affiliations, corporate licensing, securities registration, status changes, and advisor registration maintenance/updates.

Effectively managed workflow, training and escalated items.

Assisted and collaborated with partnering business units with questions and workflow.

Anti-Money Laundering job shadowing on processing, analyzing, of company security and accounts determining funds/activities related to the origin and destination of funds.

Senior Compliance Specialist/Registration and Licensing Charlotte, NC (1/2006-6/2013)

Proficient with FINRA, State Registration Rules and Regulations.

Processed advisor requests, state registrations, exam requests, status changes, and more complex escalated items.

Provided excellent customer service to advisors over the phone, emails and through written correspondence.

Performed processing duties such as data entry, generating letters, processing new advisor paperwork, and maintenance of advisor registrations licensing.

Managed workflows, training and escalated items.

Assisted partnering departments with questions and workflow.

Bank of America Securities, LLC Senior Compliance Officer Charlotte, NC (10/2001-12/2005)

Registered Financial Advisors with FINRA using the WebCRD system.

Maintained security clearance reports applying rules and regulations of SEC.

Registration liaison to the Financial Advisors, internal associates, and vendors.

Maintained continuing education program to ensure associates remained in compliance with FINRA’s regulatory requirements.

Accurately processed U4, U5 and ADV filings.

Amended and closed branch locations with FINRA and IARD.

Effectively trained new associates on various internal and external systems.

Accurately maintained associates file.


Bernard Baruch College, Bachelor of Science Degree: Business Administration, Human Resources Concentration

Additional Information

FINRA Series 99 license

Computer Skills: WEBCRD, Oracle, BranchNet, BETA, Lexis Nexis, Microsoft Word Office, Word, Excel, Microsoft Outlook

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