Lindsay Coughlin

Experience

• 

  Raymond James Ltd.

  Jan 2012 - now

  Compliance Officer

  Responsibilities include monitoring retail account activity and contacting sales staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations. Assisting the department’s "help desk" as a compliance resource person; Compliance with the ongoing trade review and compliance functions for retail branch accounts in Canada and the US; Branch Reviews; Approve Trade Corrections; Short Positions reviews in cash, RRSP and margin accounts; Monitor trading in securities placed on restriction; Monitor trading in securities placed on restriction; Monitor penny stock trading for US clients.Registered Representative with IIROC since December 2013 Show less