Dustin J. Zahn
- Role
- Vice President, Regulatory Supervision, Advanced Clearing & Prime Services at Wedbush
- Location
- Los Angeles, CA, US
- LinkedIn followers
- 500 followers
About Dustin J. Zahn
Vice President, Regulatory Supervision, Advanced Clearing & Prime…
Experience
Vice President, Regulatory Supervision, Advanced Clearing & Prime Services
Mar 2022 — Present
Perform supervision activities to meet regulatory requirements and maintain service level standards and is responsible for monitoring, supervising, adherence to Written Supervisory Procedures (WSPs) across the Correspondent Clearing business, the Prime Services desk and the Agency desk. Supervise transaction reporting pre-trade approval, personal activities, etc, review, social media/email review, daily trading exception reports, market access controls for equities and options trading desks, best execution review, SEC Reg SHO, Reg NMS, SEC Rules 605/606, review and approval of wire transfers and LOAs. Manage and oversee the verification of asset transfers. Conduct an annual due diligence review of Correspondent broker-dealer clients. Ensure accuracy and integrity of monthly supervisory checklists and quarterly risk assessment reports to business unit leaders to ensure there are no breaches in supervision. Manage the delivery and execution of annual and periodic updates on supervisory issues to the Firms senior management team. Serve as a point of contact for issues that cannot be resolved, address system supervisory and emerging business issues, escalating as required to the business unit heads and the Firms Compliance Department. Collaborate with the Firms Compliance department to implement supervisory processes in response to regulatory developments and industry best practices. Partner with the Firms compliance department to recommend policy. Process and/or control changes/enhancements to management. Review and recommend procedural enhancements to improve processes Investigate improved processing solutions through technology enhancements. Assist the Firms Legal department and Compliance department with regulatory responses as well as internal and external audits.
Skills
- Mutual Funds
- Wealth Management
- Social Media
- College Funding Strategies
- Life Insurance
- Marketing Strategy
- Deferred Compensation
- Social Media Marketing
- Equities
- Financial Planning
- Financial Advisory
- Marketing
- Fixed Annuities
- Retirement Planning
- Financial Services
- Bonds
- Variable Annuities
- New Business Development
- Investment Advisory
- Disability Insurance
- Marketing Communications
- Creative Direction
- Public Speaking
- Investments
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