Stacey Savitsky
Manager Field Supervision @Hornor, Townsend & Kent
Signup · Get unlimited contacts
WORK HISTORY
Manager Field Supervision @Hornor, Townsend & Kent
Created desktop procedures for supervisory tasks using Microsoft Word, PowerPoint and SharePoint.• Established and expanded quality control team, implemented Excel-based review process, and enhanced issue resolution accuracy while maintaining audit readiness.• Oversaw escalated issues regarding OBAs, legal complaints, licensing, and trade disputes, ensuring timely resolution within FINRA deadlines. • Directed internal supervision team in special projects, FINRA inquiries, surveillance, VA pre-approvals, RIA, and advertising reviews using Domo.• Created and implemented new weekly reporting dashboards in Excel, monitored workloads, and distributed assignments across team members to ensure queue currency and operational transparency• Represented firm at compliance conferences and regulatory meetings, strengthening supervisory practices and relationships with regulators
EDUCATION
Brooklyn Technical High School
Regents Diploma
New York University
Bachelor of Arts (BA)
SKILLS
ABOUT STACEY SAVITSKY
I am a seasoned Supervision and Compliance Manager with extensive experience overseeing regulatory compliance, risk management, and supervisory leadership across financial services organizations. I specialize in building collaborative teams, creating effective procedures, and aligning business practices with client-centric and regulatory strategies. Regulatory Compliance: Skilled in FINRA Gateway, BrokerCheck, Report Center, and Web CRD/IARD to ensure compliance across broker-dealer and RIA activities. Risk and Audit Management: Experienced with Wolters Kluwer OneSumX, Compliance360, RegEd, and eMoney to support regulatory audits and risk assessments. Surveillance and Trade Monitoring: Proficient in SunGard Protegent, and Charles River IMS to manage trade reviews and detect irregularities. Workflow and Documentation: Adept in Microsoft Office Suite, SharePoint, Teams, Adobe Acrobat, and DocuSign to standardize procedures and streamline documentation. CRM and Advisor Engagement: Leveraged Salesforce and Microsoft Dynamics to strengthen advisor relationships, manage escalations, and drive operational transparency. Training and Development: Delivered policy and compliance training via WebEx, Zoom, and learning management systems to enhance supervisory knowledge and consistency. Data and Reporting: Designed Excel dashboards using pivot tables, macros, and advanced functions to provide real-time workload monitoring and queue management. Regulatory Technology: Applied Smarsh, MarketingPro, Emerald Marketing, and EagleEye to supervise digital communications and support RegTech adoption. My career highlights include leading central and field supervision teams, conducting regulatory conference representation, and supervising hundreds of registered representatives across regional offices. I have overseen escalated issues regarding outside business activities, licensing, legal complaints, and trade disputes, always ensuring compliance within FINRA deadlines. I thrive in roles that require collaboration with regulators, development of clear procedures, and strengthening advisor engagement while reducing risk exposure. I am committed to building trust, maintaining audit readiness, and leveraging technology to drive efficiency in supervision and compliance operations.
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.