Gene Nelson
Compliance Analyst at LPL Financial
- Role
- Compliance Analyst at LPL Financial
- Location
- San Diego, CA, US
- LinkedIn followers
- 500 followers
Experience
Compliance Analyst
Jan 2005 — Present · San Diego, CA, US
Quality Control Inspector: Developed, tested and implemented the certification process for electronic mail (e-mail) for the firm. The E-Discovery Team has taken over the process of quality control from our outside digital forensic team which have saved the firm thousands of dollars each year. Electronic Mail Processor: Processed over 700 requests for the Legal and Compliance Departments for electronic mail (e-mail) providing them with accurate data for their investigations. Surveillance - Outside Brokerage Accounts: Responsible for tracking and maintaining over outside brokerage accounts for the firm. Alternative Investments: Responsible for logging and tracking the alternative investment reviews in the compliance department. Worked with the Alternative Investment Operations department receiving new request that need compliance approval and delivering the approved and denied requests back to them. I was responsible for monitoring the queue and distributing the workload to the analyst on a daily basis in the electronic system. Cash Non-Cash Reimbursements: Responsible for logging, tracking and screening the paperwork to make sure it’s in good order. Contacted advisors for missing information. I sent back the approved paperwork to the payments department. Commission Hold Report: Generated weekly reports and validated proper license for advisor to receive commission. Worked with the commission’s department to release or hold commissions for advisors. Address Match Report: Manually compared and resolved address matches with advisors and clients addresses. This process was automated and I continued to review the daily flags that were generated in the electronic system.
Skills
- Financial Advisory
- Uniform Combined State Law
- Aml
- Series 7
- Life Insurance
- Securities Regulation
- Securities
- Estate Planning
- Investment Management
- Variable Annuities
- Asset Allocation
- Mutual Funds
- Risk Management
- Hedge Funds
- Portfolio Management
- Fixed Annuities
- Investment Advisory
- Financial Planners
- Financial Risk
- Asset Management
- Investment Advisers Act
- Retirement Planning
- Finra
- Compliance Testing
- Iras
- Broker-Dealer
- Financial Services
- Series 63
- Retirement
- Strategic Financial Planning
- Ofac
- Disability Insurance
- Series 6
- Insurance
- Series 24
- Sec
- 401k
- Investments
- Series 65
- Fixed Income
Find verified contacts for anyone on LinkedIn
Unifers gives sales teams verified emails and direct dials, enriched profiles, and outreach that lands in the inbox.
Free plan included · No credit card required
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.