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Andy Walz
Compliance
Compliance Analyst
Contact Info
Email Address: awalz@firstheartland.com
Direct Line: (636) 695 - 2809
Extension: 1209

Job Description:

  • Compliance reviews including advertising, correspondence, seminars, sales literature, Web/Social Media activity and outside account statements
  • Review/approve transactions pertaining to Brokerage, Direct Mutual fund accounts
  • Manage Regulatory Element compliance, AML training and email archiving
  • Monitor the political contributions of the registered representatives to make sure they are in compliance with the necessary regulations
  • Conduct field audits of branch offices in addition to doing the necessary pre- and post-audit paperwork
  • Review the Business Continuity Plan and Written Supervisory Procedures to ensure that they are up-to-date whenever a Registered Representative joins or leaves FHC