My primary responsibility at V Wealth Management is ensuring our branches are complying with all Securities & Exchange Commission (SEC) requirements. These tasks include:
- Preliminary review of our daily trade blotters to reconcile that all client orders were executed properly and in a timely manner
- Spot checks of the fees and the billing to clients for consistency with required disclosures
- Monitoring state securities registrations for each wealth manager
When oversights are spotted, I bring them to the attention of the appropriate person. I assist in identifying how or why it happened, and how our internal systems may be improved. I communicate with my colleagues to be sure they understand the procedures in place and answer their questions about how to comply with these.
Throughout my career in the financial services industry, I have served in many different positions in Banking and Wealth Management firms. This has given me a broad overview of the branch operations in these organizations. My background also enables me to assist in other capacities in our firm as needed.
When enjoying my personal time, you will often find me visiting with our adult daughters and playing doting grandmother to my grandchildren. My husband and I are avid travelers and always up for adventure! Italy and Greece are currently on our calendar for our next destination.