Ron Orf
Wildwood,MO
Summary
Experienced business professional with a strong background in the financial services industry. Skilled in supervising financial advisors, leading calls and meetings with senior leadership, and ensuring compliance with firm and industry policies. Proven track record of successfully helping achieve company goals and objectives. Thorough team contributor adept at handling multiple projects simultaneously, ensuring accuracy, and providing reliable leadership.
Overview
27
27
years of professional experience
1
1
Certification
Work History
Vice President - Enhanced Research Analyst Tier II
Wells Fargo Advisors
11.2015 - Current
- Responsible for supervising, monitoring and research analysis within WFA Supervision and providing proactive solutions.
- Complete in depth research of Financial Advisors business which includes reviews and analysis of client accounts, strategies being utilized and Financial Advisors business mix.
- Schedule and lead calls with regional and senior management on policies & procedures, controls, tools and training that impacts the retail locations.
- Provide proactive solutions to branch offices to remediate any risks and identified issues.
- Conduct research and complex analysis in search of current and best practices as well as opportunities for additional synergies and to maximize efficiencies
- Work with locations to remediate identified issues; perform reviews to detect potential employee fraud or financial distress and/or ensure adherence to firm policies in regards to requirements and exceptions.
- Responsible for identifying, reviewing and addressing unapproved or high risk activity within accounts or away from the firm as well as conduct preliminary surveillance, monitoring and investigative analysis of certain retail account activity and outside business activity, related controls and provide proactive resolutions.
- Complete ad hoc reviews and analysis of additional branch offices when needed.
Assistant Vice President Regional Branch Supervisor – Centralized Supervision
Wells Fargo Advisors
04.2008 - 11.2015
- Completion of account review, daily trade reviews including updates and approvals.
- Provide remote sales supervision and support to assigned branches and regions.
- Supervise sales activities such as annuities, trade blotter, and email surveillance, on behalf of branch managers.
- Support branch offices to ensure compliance with internal policies, applicable laws, and regulations.
- Escalate issues to the appropriate management level and assist branch offices in resolution of sales activity.
- Work closely with Region and Branch Management to communicate any items that may be identified.
- Responsible to run quarterly reports and calls with branch managers to review any trends or compliance issues that need to be addressed.
Field Supervision Director
Edward Jones Investments
07.2000 - 04.2008
- Responsible for supervising 100 - 250 Financial Advisors and helping maintain a compliant branch.
- Experience conducting 30-100 branch audits annually.
- Conduct Compliance discussions with branch employees regarding firm and industry policies and procedures.
- Responsible for supervising $4-$7 billion in assets under management.
- Evaluate and approve daily trading activity and new account information for branches supervised.
- Determine suitability of trades, switch activity in accounts, and verifying proper breakpoints for mutual fund buys.
- Experience in reviewing and approving sales correspondence, advertising, and email surveillance.
- Work closely with Compliance for heightened supervision and conducting Compliance hearings for financial advisors.
- Review and determine suitability for annuity buys and 1035 exchanges.
- Mentor and train new Field Supervision Directors.
- Review trade corrections and margin activity in accounts.
- Approve outside business activities for Financial Advisors and Branch Office Administrators.
- Look out for the client’s best interest and assure compliance of branches.
Assistant Supervisor - Cashiering/Margin Department
Walnut Street Securities
07.1998 - 07.2000
- Responsible for Reg-T extensions, tech short positions, and the resolution of debits.
- Process all margin functions, including Federal and Maintenance calls.
- Direct contact with sales representatives and our clearing firm.
- Work closely with compliance enforcing rules and regulations of security trading.
- Trained in all aspects of the cashiering department, including reorganization, booking of stock in accounts, depositing checks, ACH requests, check requests, journal of positions between accounts, fed wires, and ACAT and non-ACAT transfers.
Education
Bachelor of Science - Business Administration
Western Carolina University
Skills
Series 7: General Securities Representative
Series 9 & 10: General Securities Sales Supervisor
Series 24: General Securities Principal
Series 63, 65 & 66: Uniform Securities Agent State of Missouri
Life and Health Insurance License
Certification
- Series 7, General Securities Representative
- Series 9 & 10, General Securities Sales Supervisor
- Series 24, General Securities Principal
- Series 63 & 66, Uniform Securities Agent State of Missouri
- Life and Health Insurance License
Timeline
Vice President - Enhanced Research Analyst Tier II
Wells Fargo Advisors
11.2015 - Current
Assistant Vice President Regional Branch Supervisor – Centralized Supervision
Wells Fargo Advisors
04.2008 - 11.2015
Field Supervision Director
Edward Jones Investments
07.2000 - 04.2008
Assistant Supervisor - Cashiering/Margin Department
Walnut Street Securities
07.1998 - 07.2000
Bachelor of Science - Business Administration
Western Carolina University
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