I am currently employed as a Legal Operations Associate in the compliance department. Our responsibilities include reviewing marketing materials to ensure they uphold fairness and equality in the advertised funds, in accordance with regulations set by bodies such as the SEC and FINRA.
Previously, I held Series 7 and 63 licenses (administered by FINRA) and worked four years as a Financial Services Representative at a brokerage firm. In this role, I primarily interacted with clients over the phone, assisting them with account-related concerns and providing support for their trading needs.
