Lee Mutart

Experience

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  Vanguard

  Jan 1997 - Jan 2008

  • Special Transactions Administrator, Vanguard Brokerage Services (VBS)

    Jan 2004 - Jan 2008

  • Expedited Action Group, Vanguard Brokerage Services (VBS)

    Jan 2002 - Jan 2004

  • Trade Desk, Vanguard Brokerage Services (VBS)

    Jan 1999 - Jan 2002

  • Investor Information Representative, Vanguard Mutual Funds

    Jan 1997 - Jan 1999
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  Vanguard

  May 2008 - Jul 2013

  Advertising Compliance Analyst

  Reviewed, edited, and approved mutual fund and investment advisory marketing material to ensure compliance with applicable FINRA and SEC regulations concerning communications with the public. Analyzed and elevated regulatory issues and trends. Completed timely regulatory filings with FINRA and maintained appropriate record keeping. Collaborated with marketing to craft language that balances creativity with adherence to FINRA rules. Served as one of the primary advertising compliance experts in the company. Provided feedback at video shoot productions and live webinars as advertising compliance resource. Conducted meetings and presentations to provide education, advice, and training across all levels of the organization. Show less

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  Hartford Funds

  Jul 2013 - Jun 2019

  Assistant Director of Marketing Compliance

  Performed audits of Hartford Funds website, company app, and social media pages to ensure all displayed mutual fund, ETF, and 529 content was current and in compliance with FINRA and SEC rules. Wrote detailed reports identifying issues discovered during audit periods. Approved non-material changes for all marketing materials that qualified for streamlined compliance reviews. Reviewed marketing material periodically due to changing market or regulatory conditions to ensure content was still accurate. Provided background on FINRA rules when there were disagreements with feedback from compliance or the legal department. Negotiated compromise solutions on regulatory gray areas that balanced marketing goals with compliance requirements. Researched competitor marketing materials to see how other firms navigated various compliance matters. Operated as a resource for various questions on complicated compliance issues. Periodically reviewed departmental procedures and updated accordingly. Explained FINRA comment letters, regulatory enforcement actions, and industry trends that impacted marketing materials. Attended annual FINRA conference in order to keep aprised of industry and regulatory trends. Show less

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  Wilmington Trust

  Jun 2019 - now

  Business Risk Manager

  Securities and Advisory services through LPL Financial (LPL), a registered investment advisor and broker-dealer (member FINRA/SIPC). For hyperlinks to FINRA and SIPC, please refer to ‘Contact Info’ section above. Insurance products are offered through LPL or its licensed affiliates. Wilmington Advisors @ M&T is a brand name used by LPL representatives to offer securities, advisory, and insurance services and is not a separate legal entity. Registered representatives of LPL using the Wilmington Advisors @ M&T name are employees of M&T Bank. LPL and its affiliates are entities separate from, and not affiliates of, M&T Bank. Securities and insurance offered through LPL or its affiliates are: • Not Insured by FDIC or Any Other Government Agency • Not Bank Guaranteed • Not Bank Deposits or Obligations • May Lose Value • Third party posts found on this profile do not reflect the views of LPL Financial and have not been reviewed by LPL Financial as to accuracy or completeness. • The financial professionals associated with LPL Financial may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state. Show less