Registered Principal Compliance Leader (Series 24)
Resume:
JESSICA WILLIAMS
REGISTERED PRINCIPAL (FINRA SERIES 24)
CONTACT
Springfield, MA 01109
*******.*.**********@*****.***
PROFILE
Detail-oriented and career driven Compliance professional with 9+ years of experience in Wealth Management. Highly self-motivated and challenge-oriented, with a strong ability to interpret regulatory requirements and adapt quickly to evolving systems, policies and procedures. Brings a high level of diligence, accountability and ownership to all responsibilities. Open to relocation for the right opportunity.
EDUCATION
MBA – GENERAL BUSINESS • TBD
Western New England University
Springfield, MA
BACHELORS OF SCIENCE IN
BUSINESS ADMINISTRATION
Western New England University
Springfield, MA
Accredited by the Association to
Advance Collegiate Schools of
Business
KEY SKILLS
Compliance
Suitability Reviews (New
business submissions)
Advisory Services
Microsoft Office
LICENSES
FINRA Series 6
FINRA Series 7
FINRA Series 24
EXPERIENCE ●
COMPLIANCE CONSULTANT • NOVEMBER 2024 - NOVEMBER 2025 MassMutual Financial Group • Springfield, MA
● Evaluate compliance reporting obligations for various activities such as compliance attestations, political contributions, third- party reimbursements, agency sales campaigns, manual account entries, private securities transactions and personal security accounts
● Home Office Registrations: Help oversee the HO Registrations inbox, assist in HO hiring questions, Broker Dealer Affiliations, Personal Interviews for registered personnel, and compliance review for weekly hires/transfers
BUSINESS ACCEPTANCE CONSULTANT • JANUARY 2021 – NOVEMBER 2024 MassMutual Financial Group • Springfield, MA
Assisted in the hiring and training of potential candidates and newly hired Investment Service Specialist and Principals this included tasks such as
•Assistance with questioning and assessing during post-secondary interviews
•Training staff new and cross trained staff on SIS and Fee Forgiveness processes
•Drafting of training material to be used for new hires
•Managed multiple projects to completion
•Led the Fee Forgiveness pod of 8-10employess on the Advisory team; this consisted of
•Running and formatting the FF report to be completed weekly
•Audting completed work the following week
•Running weekly Fee Forgiveness huddles
•Assigning work as needed
Assisted in cross training tasks such as
•TDF/CAT review
•TDF/CAT review training
•2nd day CAT review processing
•Conduct back-office review and firm-acceptance of Inforce Advisory business submissions related to WMS Advisory accounts.
•Determine root cause of issues, provide solutions, and resolve matters independently without management supervision at times.
•Consult with registered representatives, Agency Supervisory Officers and Regional Supervisory Directors, providing guidance on suitability concerns and guidelines.
•Handles suitability and completeness review for Advisory account maintenance transactions such as account goal modifications and re- registrations.
BUSINESS ACCEPTANCE SPECIALIST • JULY 2018 – JANUARY 2021 MassMutual Financial Group • Springfield, MA
•Conduct back-office review and firm-acceptance of Broker Dealer New Business submissions
•Review of Corporate RIA accounts, Brokerage accounts, Advisory accounts, Mutual Fund account and Variable Annuities for Firm Acceptance, Suitability and Fiduciary Best Interest.
•Subject matter expertise of annuity suitability and new business operations, including a solid understanding of our platforms and systems.
•Complex problem resolution requiring higher level critical thinking BUSINESS OPERATIONS SPECIALIST • MARCH 2017 – JULY 2018 MassMutual Financial Group • Springfield, MA
•Associated reporting, procedural/ workflow maintenance
•Assist sales team with administrative task; data correction, and lead creation
•Assign incomplete RO forms to the correct or assigned sales representative
•NIGO PTS/RIST form resolution
•Drafted procedural documents in order to assist team with performing specialty task(s)
•Perform research and resolution projects as needed CUSTOMER SERVICE REPRESENTATIVE• FEBRYARY 2016 – MARCH 2017 MassMutual Financial Group • Springfield, MA
•Customer assistance with making need-based retirement options
•Adherence to department metrics
•Adhere to company plan provisions in order to assist each participant accurately
•Interpersonal skills and building rapport with participants in order to provide exceptional customer service and meet participant needs
•Seeking a onetime call resolution or research as necessary with appropriate department.
Contact this candidate