Garden City, NY (PRWEB) June 04, 2013
Concept Capital Markets, LLC is pleased to announce that Veronica Taylor has joined the firm as Senior Vice President, Compliance. Veronica will report to Rep Poppell, Concept Capital’s Chief Compliance Officer, and will assist with all general compliance functions for the Firm.
Veronica comes to Concept Capital with extensive brokerage related compliance experience. From 2006 until recently Veronica served as Compliance Officer at Jeremiah Associates, LLC, a professional services firm providing consulting, content development, and training to the global financial services industry. In this position, Veronica performed testing of compliance and regulatory related controls to evaluate effectiveness, created and updated compliance manuals with new policies and procedures, served as Web CRD and IARD administrator and submitted electronic filing of forms U4, U5, BD, BR and ADV, screened employees email, IM, text messaging and social media along with outside business activity, guided firms through regulatory examinations from the SEC and FINRA, served as outside independent AML auditor, reviewed customer account files, including new account documentation, monitored accounts for suspicious activity, prepared needs analysis and developed training plans and content for continuing education and annual compliance meetings, conducted annual supervisory review audits as well as branch audits, as well as many other typical compliance related responsibilities. Earlier in her career, Veronica served as Chief Compliance Officer and AML Officer at Kaufman Bros., LP, Manager at Frontline Trading, LLC, and in trade and sales support at Wofex Brokerage, Inc., where she gained valuable experience operating inside boutique brokerage firms.
“We are pleased to welcome Veronica to Concept Capital and believe her extensive compliance experience will complement our commitment to an effective and comprehensive compliance program”, said Robert Moore, Chief Executive Officer. Rep Poppell, Chief Compliance Officer, added: “I’m quite pleased that we’ve been able to bring a compliance professional of Veronica’s caliber to Concept Capital and look forward to working with her to support the firm’s growth.”
About Concept Capital Markets, LLC:
Concept Capital offers a comprehensive suite of brokerage and related services that provide traditional and alternative investment managers with solutions that are customizable and scalable. The firm was built by former investment managers to serve hedge fund managers, managed account platforms, institutional investors, family offices, and registered investment advisors with turn-key solutions designed to free its clients to focus on their core competencies. Our offering features world-class custody and clearing options, multi asset class capabilities, leading execution and order management systems, a seasoned execution desk, a range of financing options, a highly professional operations and customer support team, comprehensive portfolio reporting capabilities, and capital introduction. Concept Capital Markets, LLC was established in 2010 following the spin-off of the Concept Capital division of Sanders Morris Harris Inc., whose origins date back to 1995. Concept Capital Markets, LLC is headquartered in Garden City, New York and operates offices in New York City, Greenwich, CT, Chicago, IL, Los Angeles and Del Mar, CA, and Boca Raton, FL. The firm is registered as a Broker Dealer and Investment Adviser with the SEC, and is a member of FINRA, NFA, and SIPC. For additional information, visit http://www.conceptcapital.com. Concept Capital earned the “Top Prime Broker North America” honor in Global Custodian Magazine’s 2012 Prime Brokerage Survey as a result of scoring “Best in Class” in every category by the survey’s respondents with Assets Under Management under $100 million. Concept Capital also earned the “Highly Commended” honor in the Best Boutique Prime Broker – Overall category at the 2012 HFM Week US Hedge Fund Services Awards.