Ellen Buckbee Jones

Experience

1. Compliance Consultant

   Commonwealth Financial Network

   Nov 2022 — Present

   Play a pivotal role in empowering financial advisors to navigating complex regulatory frameworks. Deliver specialized consulting services by helping draft disclosure policies and procedures. Counsel advisers on regulatory obligations under the Investment Advisers Act of 1940, Securities Exchange Acts, FINRA rules, and broker-dealer regulations to ensure full compliance. Review advisor communications including emails, investment correspondence, and texts to identify potential compliance concerns and uphold documentation standards. Engage with advisors via phone and email to address inquiries with clarity and professionalism. Partner with internal teams to guide advisors on product usage and regulatory alignment. Contribute to process enhancements initiatives aimed at improving advisor support and operational efficiency. Apply advanced analytical and diagnostic skills to deliver practical compliance solutions. Build strong relationships with advisors and colleagues through effective communication and a collaborative approach. Excel in managing competing priorities across multiple engagements while maintaining high standards of quality.

Skills

• Series 24
• Series 63
• Salesforce.com
• Series 7
• Analysis
• Research
• Crm
• Visual Manufacturing
• Sales