Karl Curry

About Karl Curry

Licensed Financial professional with a 20+ years record of success as a Senior Manager, Compliance Consultant, and Brokerage principal. Enhance team performance and maximize customer satisfaction by strategically managing calls and implementing process improvements. Proficient knowledge of USA Patriot Act/Bank Secrecy ACT (BSA)/ Anti-Money Laundering (AML) regulatory requirements. I am currently a point of contact for the Customer Identification Program (CIP) to conduct KYC and AML reviews as part of onboarding new investors into the firm’s Institutional Broker-Dealer. Supervise and liaise with other departmental heads to ensure that all business operations align with business policies.Experienced Manager providing training and monitoring to ensure adherence to company policies. Strong understanding of financial investments, securities analysis, equities, and fixed incomes. A detail-oriented and respected leader with excellent skills in adaptability, curiosity, and tolerance of ambiguity who emphasizes improving efficiency, productivity, and consistency. Licenses: • Series 7 – General Securities Registered Representative, • Series 63 – Uniform Securities Agent State Law Exam, • Series 66 – Uniform Investment Advisor Law Exam, 2011 • Series 24 – General Securities Principal Exam, 2014 • CRPC – Chartered Retirement Planning Counselor, 2016 • CAMS –Certified Anti-Money Laundering Specialist, 2021Expertise:• Analyze internal business systems to ensure compliance with industry regulations and ethical standards.• Ability to understand, lead and manage CIP/AML process. • Ability to understand, lead, and manage the Senior Broker-Dealer Operations experience.• Ability to understand, lead and manage in the retirement (401k, 403b, IRA) space.• Demonstrate the highest level of integrity, intellectual honesty, and strong work ethic.• Supervise compliance officers and team.• Proven ability to successfully thrive in an ambiguous environment and changing market conditions by following SOPs.• Regularly assess the efficiency of financial systems and recommend effective improvements.• Review and evaluate company procedures and reports to identify hidden risks or common issues.• Sharp, analytical, and thoughtful with excellent problem-solving skills. • Takes the initiative, follows WSP\'s protocols. Plans efficiently while avoiding analysis paralysis• Continual, tactical communication with external and internal customers (Carriers, Vendors/Suppliers)Let\'s get connected on LinkedIn and feel free to contact me at K•••••••@bellsouth.net

Experience

1. Senior Manager Broker Dealer Operations

   Equitable

   Sep 2021 — Present · Charlotte, NC, US

   Responsible for day-to-day operations with brokerage business and operational oversight.• Review cash management activities in brokerage and advisory accounts.• Lead efforts to develop new or revised processes/procedures for the assigned business areas.• Lead projects related to ease of doing business initiatives.

Education

• Keller Graduate School of Management of DeVry University

  Masters, Accounting & Financial Management

  2009 — 2012

• Long Island University

  Bachelor of Science, Finance and Management

  1996 — 2000

• Keller Graduate School of Management of DeVry University

  Master's of Business Administration, Finance and Investments

  2012 — 2014

• New York University

  Certificate Program in Credit and Financial Analysis , Accounting and Finance

  1993 — 1996