Joseph Bisceglia

Responsibilities for this position included, but were not limited to: supervising the compliance audit advisors who conducted internal audits of the licensed representatives and departments of the company in the thirteen states where Citizens/CharterOne Bank branches are located. In addition, audited higher level sales representatives and sales management located at numerous OSJs; trained licensed representatives on compliance procedures and policies; assisted in the writing of company procedures and polici

Responsibilities in this position include, but are not limited to; providing a training and compliance resource; Broker/Dealer compliance record keeping, OSJ/branch inspections and monitoring of registered representatives and detached office locations; client suitability file review; annual registered representative interviews; review of all advertising/sales material and client correspondence, and primary compliance liaison between registered representatives, OSJs and home office.

Responsibilities for this position included, but were not limited to: supervising the compliance audit advisors who conducted internal audits of the licensed representatives and departments of the company in the thirteen states where Citizens/CharterOne Bank branches are located. In addition, audited higher level sales representatives and sales management located at numerous OSJs; trained licensed representatives on compliance procedures and policies; assisted in the writing of company procedures and polici

Responsibilities included, but were not limited to: supervision and administration of employees, payroll, recruiting, hiring, the training and development of new administrative employees, within the sales region that encompassed Ohio, New York and Pennsylvania. In addition duties included performing as Agency Compliance Specialist, responsible for overseeing the insurance and securities rules and regulations as set forth in the Company’s Market Conduct Manual. Managed agency cashbooks and budgets; assisted