Broker Dealer Supervision Outsourcing
- Expertise in effective project management techniques to meet regulatory requirements.
- Implementation of risk management protocols for effective escalation of issues to senior management and risk mitigation, including regulatory reporting.
- Execution of first level reviews and tasks in a cost effective and efficient manner.
- Critical analysis of process execution with the objective of identifying efficiencies.
- Provide training and development to staff, allowing for ease of hand off when necessary.
- Ability to manage and accept any project around a broker dealer practice regardless of scale/size to meet stated goals.
- Performing branch review including design of testing protocols.
