Patrick Dailey
Regional Branch Manager, Field Supervision @Transamerica
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WORK HISTORY
Regional Branch Manager, Field Supervision @Transamerica
Supervise the securities activities of Branch Office Supervisors and Registered Representatives in the Western US territory in accordance to the Firm\'s written supervisory procedures. Provide supervision for broker dealer and investment advisory functions, guidance, advice, and training. Confirm satisfactory record keeping is being performed in branches. Assist in the creation and training of new branches, as well as develop existing offices. Participate in regulatory examinations. Visit branch offices for adherence to company policies and procedures. Implement procedural changes to resolve audit deficiencies. Review written and electronic communications in accordance with company policies. Review, approve, and/or deny outside business activities and private securities transactions. Perform final review and acceptance of applicants/registered representatives. Monitor compliance with Firm and regulatory CE requirements. Attend public events conducted by Field Representatives to ensure compliance with Firm policies. Perform additional supervisory and compliance functions as needed.
EDUCATION
University of Southern California
B.A, Liberal Arts and Sciences/Liberal Studies
ABOUT PATRICK DAILEY
I am a dedicated manager, with experience in planning, analysis, development, marketing…
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