William Hoeffner
Associate Compliance Analyst @Fidelity Investments
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WORK HISTORY
Associate Compliance Analyst @Fidelity Investments
Analyzing compliance regulations to determine their business impact, implications, and solutions.• Communicating in written and verbal form at the highest and most professional level with Associates all the way to Senior Management.• Filing initial registration applications (Forms U4) amended applications (Form U4 amendments), and requests to terminate registrations (Forms U5) with FINRA.• Determining if certain associate events are reportable to FINRA on the Form U4.• Responding at a high level to associate inquiries regarding applications and registration status.• Providing education and information to associates and Supervisory Principals regarding the maintenance of FINRA registrations and state insurance licenses.• Interacting with various regulatory agencies (FINRA, individual states, SRO’s, etc.) regarding registration and licensing matters. • Providing outstanding customer service to all levels of associates within Fidelity (new hires through senior management) regarding their registration and licensing needs. • Collaborating closely with other team members to identify, resolve and address regulatory issues• Leading training sessions for IGO U4\'s• Developing and maintaining strong working relationships with peers and managers within and across compliance teams (internally focused)
EDUCATION
Dallas College
Loan Underwriting
Tarrant County College
Finance, General
Coursera
Google Data Analytics Professional Certificate
University of North Texas
Bachelor of Science (BS)
SKILLS
ABOUT WILLIAM HOEFFNER
It is my career aim to build lasting and loving relationships everywhere I go, be a…
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