Anthony Z.
Senior Supervision Principal at Key Investment Services
- Role
- Senior Supervision Principal at KeyBank
- Location
- Cleveland, OH, US
- LinkedIn followers
- 500 followers
About Anthony Z.
FINRA Series 7, 24, 52, 53 & 66 & Ohio Life, Variable, Accident & Health Insurance LicenseCORE COMPETENCIES• Control Testing • Regulatory Filings • Risk Management• AML & Compliance • Statistical Analysis• Excel / Tableau• Data Analytics • Supervision/Compliance • Policies & Procedures• OSJ Audits • Ohio Insurance License • Product Testing• Annual Board Reporting • FINRA 7, 24, 52, 53, 66 • Trade Review / Blotters
Experience
Senior Supervision Principal
Nov 2021 — Present · Cleveland, OH, US
Act as formally designated FINRA principal in all regulatory capacities for activities of 45 Financial Advisors, 53 Licensed Bankers and 4 Regional Sales Leaders for Seattle, Colorado, Utah and Idaho markets.• Conduct supervisory principal review of all trading activity, annuity & insurance contracts, advisory program contracts and model changes. Perform oversight of financial plans generated by KIS RRs.• Perform audits for Financial Advisors, resolve audit exceptions and enhance processes to avoid exceptions.• Conduct supervisory principal review of new accounts, trusts, POAs, email correspondence and advertising.• Actively participate in training of new KIS RRs. Perform reviews for all RRs on Heightened Supervision.• Conduct periodic reviews of sales activity and exception reports, working with KIS RRs on issue resolution.• Identify sales activity trends or patterns and work with KIS RRs to resolves concerns or issues.• Review customer complaints, work with KIS Compliance, KIS RRs and Sales Leaders in a collaborative nature to resolve complaints. Contact customers directly to research and resolve complaints.• Act as regulatory expert resource for RRs. Complete monthly and quarterly certifications to KIS Compliance.• Respond to internal and external audits by Compliance, Risk and FINRA. Perform information requests.
Education
The Ohio State University Fisher College of Business
Finance & Real Estate, Investments and Securities
2010 — 2015
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