Phil Jerome

I leverage my 15+ years of experience, proactive approach, and industry knowledge to successfully identify the root cause of problems, interact with external regulators and third-party audit providers, and apply a risk-based approach to compliance as necessary and in everyone’s best interest. By establishing, implementing, and maintaining standards and procedures that are operational and efficient in identifying, preventing, detecting, and correcting nonconforming issues, I ensure firm-wide compliance with all applicable regulations/policies and laws, as well as internal standards and accepted business practices. Expertise: Fixed Income Alternative Investments (AI) Broker-Dealer Insurance Products (Annuities) Exchange-Traded Funds (ETFs) 529s Managed Accounts Mutual Funds Options Broker-Dealer Compliance Complex Regulatory Issues/Processes – Simplifying & Articulating Consolidated Reports Equity Research Rules Internal/Regulatory – Audits/Exams & Inquiries Policies/Procedures & Controls – Origination/Implementation Problem Resolution Product – Development & Launch Regulatory (SEC/FINRA) & Industry – Rules Relationship Cultivation Research/Market Commentary Risk Assessments & Monitoring Surveillance Team Leadership