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Tina Sarnoff
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Back Office Solutions & Services, Owner / LinktoEXPERT, Relationship Manager / AuthenticID, Compliance Officer
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Having worked for in the financial services industry for the past twenty years in various roles with multiple broker/dealers/RIAs, I have long
worked to maintain positive relationships with my present and former employers. My family and I now feel that
the time has come for me to branch out and start my own business. I want to bring effective and efficient solutions and fresh ideas to the financial services offices who hire me as a consultant. I most recently was working as a consultant with BD Advisor Consultants conducting 206(4)-7 and 3012 reviews and required annual AML audits and I am representing AuthenticID as a Compliance Officer showcasing their identity verification products.
Prior to working with BD & Advisor Consultants, LLC, I worked at Transamerica Financial Advisors, Inc. for seventeen years; seven years were as the Anti-Money Laundering Compliance Officer (AMLCO) with my CAMS and CFCS certifications and Lead Compliance Officer in the Monitoring/Surveillance Unit. As AMLCO, I was responsible for the daily administration of the firm’s Anti-Money Laundering Compliance Program as well as monitoring account activity for unusual/suspicious activities related to possible “pump and dump” schemes, structuring, private securities transactions, fraudulent stock schemes, fraudulent bearer bonds, etc. I was also responsible for maintaining the anti-money laundering (AML) procedures, conducting AML audits of affiliate companies, writing and submitting Suspicious Activity Reports (SARs) to FinCEN, AML and identity theft/privacy/security training, clearing firm and direct business review, creating and running surveillance reports, and updating of procedures.
For two years prior to my most recent position, I was the AML Designee reporting directly to the AMLCO after five years as a Compliance Officer.
My experience before working as a Compliance Officer in the Monitoring/ Surveillance Unit included five years reporting to the Chief Compliance Officer for InterSecurities, Inc. (n.k.a. Transamerica Financial Advisors, Inc.) responsible for special projects such as Compliance Manual acknowledgement collection when changes were initiated, writing and issuing Compliance Bulletins, distributing NASD (n.k.a. FINRA) Notices to Members to the field force, workflow creation for document retention and updating the Registered Representative Manual as needed.
I am currently attending Eckerd College and expect to receive my Bachelor of Science degree in Business Management with a minor in Finance. I hold the FINRA Series 7 and 24 licenses and the Florida Life and Variable Annuity license. I am also a Certified Anti-Money Laundering Specialist (CAMS) and a certified member of the Association of Certified Financial Crime Specialists (ACFCS). I was also recently inducted into Worldwide Branding, the parent company of Who's Who in American Business.
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