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Carol C.

SECURITIES / BANKING INDUSTRY SUPERVISION PROFESSIONAL
Georgetown
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Skills

• Microsoft Office
• Excel Spreadsheets
• PowerPoint
• Photoshop
• Training and Delivery
• Business Operations and Administration
• Salesforce
• Data Analytics and reporting

About

Compliance leader with expertise in the securities, B/D, and banking industry. Lead and collaborated with senior management’s Compliance Risk Management (CRM) team to develop procedures, training, assessments and delivery of regulatory controls to achieve advisor alignment of Supervision team for newly created LPL Enterprise B/D. Created proactive and reactive tracking tool criteria for metrics on review/resolve advisor risk. Developed and integrated high standards of advisor conduct and operational integrity. Liaison to Financial Advisors and their business teams for Financial Investigation Unit (FIU) or Anti-Money Laundering (AML) cases, state, or FINRA investigations as needed.