Jon M. Danielson
Hampstead
Summary
Regulatory Compliance Analyst with a strong record of high productivity and efficient task completion. Expertise in regulatory analysis, risk management, and policy development drives compliance goals. Proven ability in process improvement and workflow optimization enhances team performance. Exceptional multitasking skills thrive in fast-paced environments, ensuring meticulous attention to detail.
Overview
15
15
years of professional experience
1
1
Certification
Work History
Analyst, Regulatory Advisory Compliance
T. Rowe Price
06.2022 - Current
- Lead and assist with the inspection and analysis of activities related to the offices of the broker-dealer based on knowledge of regulatory requirements.
- Tests compliance policies and procedures to identify weaknesses within various business units.
- When current practices do not meet required standards, incumbents will work with Senior Manager and business leaders to identify the areas of concern, offer recommendations, and manage the follow-up to ensure the remediation plan was implemented in a timely manner.
- Delivered actionable consultative compliance support to assigned internal clients.
- Serves as a point of contact for questions related to regulatory matters.
- Leads projects of limited scope regarding compliance.
- Responsible for coordinating with team members and internal clients to accomplish the goals of the project and to ensure timely delivery of required materials and reports.
- In consultation with compliance and legal teams, recognizes current industry compliance issues and research and impact on assigned business units.
- Assists with the communication of relevant information to business unit leaders.
Sr Specialist, Compliance Services and Regulatory Reporting
T. Rowe Price
05.2017 - 06.2022
- Provides oversight, enforcement and reporting of the TRP Gift & Entertainment policy to ensure the firm is compliant with regulatory rules, code compliance rules and firm trends.
- Perform Post trade surveillance of employee personal trading and firm trading.
- Review and report policy violations for the quarterly upper-level compliance management meeting.
- Oversee and report on 'Pay to Play' political contribution oversight and reporting.
- Provides guidance and interpretation of the code of ethics to the firm.
- Lead STAR compliance enhancements and process improvement projects.
- Assist new and current employees moving in to Covered or Access roles.
- Navigated vendor and broker dealer relationships to improve internal reporting processes.
Retirement Client Service Specialist
T. Rowe Price
04.2013 - 05.2017
- Supported client services for small business owners and their employees using our SEP-IRA, Simple-IRA, Solo 401k, Keogh, 403B, and small business 401k plans.
- Collaborated with internal groups to problem solve for resolutions in escalated participant situations that required immediate attention.
- Created monthly retention and rollover asset transactions reports.
- Identified and presented trends for department improvement opportunities.
- Assisted Plan Administrators with plan guideline and compliance inquiries.
- Consulted with participants to identify retirement goals and determine appropriate investments to reach goals.
- Monitored specialist phone calls to confirm adherence to compliance regulations and provide feedback as needed.
- Cross trained to assist various business groups, including RCS internal processing, Retail services, 529 services, and Brokerage operations.
Retail Investment Service Associate
T. Rowe Price
06.2011 - 03.2013
- Engaged in client discussions to identify unstated needs and tailor solutions using integrated interaction model for the highest level of customer service.
- Used critical thinking to solve complex problems when a procedure wasn’t in place.
- Demonstrated strong commitment to High-Net-Worth clients by acting on opportunities to enhance experience.
- Facilitated specialized calls including RMD, Brokerage and mutual fund trades, and Inheritance process for beneficiaries.
- Reviewed and provided updates for procedures on an on-going basis.
- Coached RIS new hires to develop their communication and professional skills and provided feedback to build their knowledge and expertise on Retail products including IRAs, Roth, Trust Estate, and Non-Fiduciary accounts.
Education
Some College (No Degree) - General Studies
Carroll Community College
Westminster, MDSkills
- Regulatory analysis
- Compliance testing
- Risk assessment
- Policy documentation
- Data reporting
- Project management
- Effective communication
- Problem solving
- Attention to detail
- Team collaboration
- Policy improvements
Certification
- FINRA Series 7
- FINRA Series 6
- FINRA Series 63
- FINRA Series 24
Timeline
Analyst, Regulatory Advisory Compliance
T. Rowe Price
06.2022 - Current
Sr Specialist, Compliance Services and Regulatory Reporting
T. Rowe Price
05.2017 - 06.2022
Retirement Client Service Specialist
T. Rowe Price
04.2013 - 05.2017
Retail Investment Service Associate
T. Rowe Price
06.2011 - 03.2013
Some College (No Degree) - General Studies
Carroll Community College