Trevor Pilkington
Legal and Risk Analyst @Commonwealth Financial Network
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WORK HISTORY
Legal and Risk Analyst @Commonwealth Financial Network
Waltham, MA, US
Advise senior business partners and affiliated advisors on implications of various new state and federal regulations, including New York Department of Financial Services Cybersecurity Regulation, Regulation S-P Amendments, and more- Support in-house Legal team with initial review of selling agreements, sponsor agreements, recruiting agreements, vendor contracts, and more- Provide detailed legal research support to attorneys related to customer complaints, employment laws, state trust laws, privacy regulations, and more- Lead initiatives to incorporate SEC and FINRA Annual Examination Priorities into Commonwealth\'s annual risk assessment process, and quantify efficacy of enterprise-wide regulatory controls - Manage control documentation efforts across the enterprise to determine residual risk exposure, with responsibility for key risk domains including New Accounts and Compliance
EDUCATION
Suffolk University Law School
Doctor of Law - JD
University of Massachusetts Amherst
Bachelor's degree, Legal Studies, Political Science & Crim. Justice
SKILLS
ABOUT TREVOR PILKINGTON
Results-driven financial compliance leader with a proven record of executing complex regulatory implementation initiatives that maximize operational flexibility and reduce risk. Skilled in deciphering securities and privacy regulation, analyzing impact through seamless collaboration with compliance, legal, and operational teams, and implementing common sense solutions. After work, you can find me at Suffolk University Law School pursuing my Juris Doctor degree at night.Series 7, 24, 66, and 52 registrations held through Commonwealth Financial Network.
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