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Branch Office Supervision and Oversight

SKU: FR1000
Total Credits
1 - 1.2
Price$50
  • Online Access
  • Smartphone
  • iPad/iPod/Tablets
  • CDs/DVDs

Description

This CLE program will highlight best practices related to branch office supervision and oversight. Panelists discuss supervisory policies, practices and controls to mitigate risks associated with branch office activities. Panelists also discuss how to effectively develop and implement a tailored branch office inspection program. FINRA staff also share effective supervisory and oversight practices, as well as discuss common branch office examination findings.

After attending this session, you will be able to:

  • Understand supervisory policies, practices and controls to mitigate risks associated with branch office activities.
  • Determine how to effectively develop and implement a tailored branch office inspection program.
  • Describe effective supervisory and oversight practices as well as discuss common branch office examination findings from a regulator perspective.

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Lecturer Bios

Thomas Drogan

Thomas Drogan has been with FINRA for over 18 years. Prior to the merger between NYSE Regulation and NASD, he spent four years in the Financial/Operational Department in the NYSE’s Division of Member Firm Regulation before moving to the NYSE’s Sales Practice Review Unit as a Senior Examiner in 2001. After promotions to various levels of examiner, Mr. Drogan was named Examination Director in May 2004 where he was responsible for the scheduling, planning and supervision of examinations, as well as the education and training of staff. In January 2008, following the merger, Mr. Drogan was promoted to Deputy Director in FINRA’s New York office where he served until December 2008 when he was appointed Deputy Director of FINRA’s Long Island office. In January 2013, Mr. Drogan was promoted to Vice President and in December 2013 was promoted to District Director for FINRA’s New York Office where he was responsible for overall operations of the office, including the management of the examination and surveillance programs, staffing and administration. In May of 2014, Mr. Drogan was appointed as the Deputy of Sales Practice and in February 2016 was named Senior Vice President. In this role, Mr. Drogan oversees the regulatory operations of the national examination and surveillance program and manages key operational and strategic initiatives. Mr. Drogan received his Finance degree from St. John’s University and his J.D. from Brooklyn Law School.

Elizabeth Page

Elizabeth Page is the Vice President and Director of FINRA’s Boston District office. In this role, she is responsible for the regulatory programs that oversee the FINRA firms and registered representatives within New England and portions of Canada and Europe. Prior to her position in Boston, Ms. Page was the Deputy Director in the FINRA’s Chicago District office and has served in a variety of staff and management roles including managing and conducting onsite examinations of the main offices and branches of FINRA firms, investigations of customer complaints and terminations for cause and applications for membership. Ms. Page has a Bachelor degree in Finance and a Master of Business Administration degree from the University of Denver.

Alexander “Alex” Schneble

Alexander “Alex” Schneble has been the Director of Private Wealth Management Compliance at Robert W Baird (“Baird”) since 2013. Mr. Schneble leads the compliance program for the firm’s retail brokerage and advisory business. He originally started at Baird in 2000 and in 2002, he transitioned to Northwestern Mutual Investment Services (“NMIS”) where he established firm policy for the new brokerdealer and investment adviser, helped shape the firm’s brokerage and advisory programs and was one of the key individuals responsible for building NMIS’ supervisory system. Mr. Schneble rejoined Baird in 2011 as the Director of Regulation and Policy responsible for assessing new regulations, industry trends and disciplinary actions. Upon transitioning to Private Wealth Management Compliance in 2013, he led the effort to redesign Baird’s supervisory system to strengthen its capabilities so it could continue to support the firm’s substantial growth and diverse product offerings.

Brennan C. Smith

Brennan C. Smith is the Head of the Branch Review Group at UBS for the last 6 years. Mr. Smith has been in the industry for more than 22 years and has held positions in anti-money laundering (AML), Regulatory Exams, Retail Compliance and as a Financial Consultant. Mr. Smith holds the FINRA Series 7, 8, 63 & 65 registrations. Prior to joining the Financial Services industry, he was an U.S. Army Captain and graduated with a bachelor’s degree from the U.S. Military Academy at West Point.



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