Franz Gesing
Compliance Consultant Ii, Branch Exams @Avantax
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WORK HISTORY
Compliance Consultant Ii, Branch Exams @Avantax
Performed over 80 practice level audits end and attained the Series 66 as of March of 2023. Subject Matter Expert with respect to Regulation Best Interest, educated field Advisors with respect to the Duty of Care, Compliance Reporting, CRS Delivery, and documentation of recommendations. Also worked internally to evaluate and update internal processes including the deployment of educational materials. Examined advisor practices with respect to DRP, communication, advertising and email compliance, documentation of accounts including on platform and direct with emphasis on Annuities, Custody Rule oversight, OBAs, Information and Branch Security, IAR Fiduciary requirements, and Regulation Best Interest. Worked in a consultative capacity to bring offices into compliance with regulatory guidelines. Reported findings to the main office, assessed fines, and issued Letters of Caution when necessary.
EDUCATION
UC San Diego
Bachelor's Degree, Business/Economics
Aliso Niguel High School
High School Diploma
SKILLS
ABOUT FRANZ GESING
Tenacious and self motivated. Extremely goal oriented and accomplishment driven. Strong…
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