Portfolio Podcast Episode 10 | Managing Exam Priorities With Carol Goulding and Serina Shores
by: BISA Staff
Managing SEC and FINRA exam priorities isn't always a walk in the park, but guest host Carol Goulding (M&T Securities) and guest Serina Shores (Huntington Financial Advisors) break down how they do so effectively — and have fun along the way — in this edition of the BISA Portfolio Podcast. Listen to the podcast wherever you get your podcasts — on Apple Podcasts, Spotify and more! Topics discussed include:
- Process for analyzing letters (8:12)
- Finding best practices (10:45)
- Contacting regulators directly (12:52)
- Addressing results of FINRA analysis (15:47)
- Involving legal staff (16:46)
- Reporting to the board (19:16)
- Implementing and tailoring training (21:24)
Carol Goulding is a senior vice president with banking and securities industry experience concentrating on regulatory and compliance issues. She is currently the senior compliance manager for Wilmington Trust’s Wealth Division and is responsible for overseeing business policies and procedures to ensure compliance with regulatory and ethical sales practices. She holds several FINRA licenses as well as a Life, Accident and Health license.
Serina Shores is the senior vice president - chief compliance officer of Huntington Financial Advisors. She has over 23 years of experience in the industry in various roles. Prior to Huntington Financial Advisors, she served in multiple capacities at Washington Mutual’s WM Financial Services and JP Morgan Chase’s Chase Investment Services Corp. She is married and has two children and a running partner — Buster the Cavachon dog.
BISA's Regulatory & Compliance Program serves as a resource for BISA member companies in an increasingly stringent regulatory environment. BISA partners with qualified firms to provide strategic insights and regulatory, compliance and risk management expertise through regular editorial content submission, training and education, conference programming and other monitoring and risk management information services that would benefit BISA members. BISA accomplishes this through two yearly regulatory and compliance summits, one in the fall and one in the spring. Learn more about these events here. BISA members are also welcome to join the monthly Regulatory & Compliance Networking Group. Info can be found here.
Please note that all comments represent the opinions of the speakers and don't necessarily represent the opinions of their firms.