Joseph Martino
Detail oriented, analytical and focused compliance professional with 20+ years of retail, broker-dea...
New York City Metropolitan Area, New York City Metropolitan Area, United States
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Joseph Martino’s Email joseph_martino@newyorklife.com
Social Media
Joseph Martino’s Location New York City Metropolitan Area, New York City Metropolitan Area, United States
Joseph Martino’s Current Industry New York Life Insurance
Joseph Martino’s Prior Industry Morgan Stanley | Hornor Townsend And Kent | Financial Services | Allstate Financial Services | Financial Industry Regulatory Authority | Ubs Financial Services | Deutsche Bank Trust Company Americas | Datek Online Holdings | Alliance Capital | Dac Planning
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Work Experience
New York Life Insurance
Director of Agency Standards
2023-01-01 00:00:00 - Present
Morgan Stanley
Compliance Analyst (Temporary Consultant through Agency)
2013-06-01 00:00:00 - 2013-12-01 00:00:00
Hornor Townsend And Kent
Compliance Analyst (Temporary Consultant through Agency)---Multiple offices in United States
2013-03-01 00:00:00 - 2013-05-01 00:00:00
Financial Services
Compliance Professional at Seeking Next Opportunity
2012-01-01 00:00:00 - 2013-03-01 00:00:00
Allstate Financial Services
Field Compliance Principal---N.J. Territory
2006-09-01 00:00:00 - 2011-12-01 00:00:00
Financial Industry Regulatory Authority
Compliance Examiner-Cycle Exams
2004-05-01 00:00:00 - 2006-09-01 00:00:00
Ubs Financial Services
Senior Compliance Analyst, Market Trend Surveillance for Retail Branches
2004-02-01 00:00:00 - 2004-05-01 00:00:00
Deutsche Bank Trust Company Americas
Private Banking Assistant Compliance Officer, (Temporary Consultant through Agency)
2003-08-01 00:00:00 - 2003-11-01 00:00:00
Datek Online Holdings
Senior Compliance Analyst and Books and Records Custodian
2000-12-01 00:00:00 - 2003-04-01 00:00:00
Alliance Capital
Associate Wholesaler, Broker-Dealer Division for N.J. and Eastern P.A. Territories
2000-03-01 00:00:00 - 2000-12-01 00:00:00
Dac Planning
Branch Operations and Office Manager for Prime Capital Services, Independent Retail Broker-Dealer
1996-10-01 00:00:00 - 2000-03-01 00:00:00Skills
Languages
FAQ About Joseph Martino
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Joseph Martino is located at
New York City Metropolitan Area, New York City Metropolitan Area, United States -
Joseph Martino is a Detail oriented, analytical and focused compliance professional with 20+ years of retail, broker-dealer, and regulatory experience. Ability to research, assess and mitigate risk. Able to work with all levels of management and staff and adapt to situations quickly while working in a team environment, or independently. Background and experience with SEC, FINRA, and NAIC rules (2210, 3100, 17a-3, 17a-4). Basic knowledge of Investment Advisers Act of 1940. Through honest and open communication, accountability, and responsibility, I have achieved a high level of colleague trust and success. Determined to get the job done, a "can do mindset," meet deadlines, and can work under pressure. With an out of the box, proactive approach I have the ability to meet deadlines, work under pressure and get the job done. FOCUS AREAS •Advertising, Communications with Public •Representative, Branch and Broker-Dealer Audits •Books and Records Maintenance •Supervision, Suitability, Surveillance, and Sales Practice Experience •Electronic & E-Mail Communication Review •Create and review training material (Sales Practice, Suitability, Products, Firm & Regulatory Rules) •Social Media and Anti-Money Laundering (“AML”) •2+ years NASD (now FINRA) experience •17+ years direct Compliance experience •Series 7, 24 and 63 (Currently Inactive) •RegED, AdTrax, AuditTrax, EmailXaminer, ZLUA, Web CRD, Sharepoint, Socialware, Hearsay system experience •Written Supervisory Procedures Review •Managed Staff of 2 Advertising Analysts
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Joseph Martino currently works in the New York Life Insurance |
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No Languages Available
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Joseph Martino has prior
experience in the following industries:
Morgan Stanley | Hornor Townsend And Kent | Financial Services | Allstate Financial Services | Financial Industry Regulatory Authority | Ubs Financial Services | Deutsche Bank Trust Company Americas | Datek Online Holdings | Alliance Capital | Dac Planning -
Joseph Martino has the following professional experience:
New York Life Insurance | Morgan Stanley | Hornor Townsend And Kent | Financial Services | Allstate Financial Services | Financial Industry Regulatory Authority | Ubs Financial Services | Deutsche Bank Trust Company Americas | Datek Online Holdings | Alliance Capital | Dac Planning -
You can view Joseph Martino’s LinkedIn profile at LinkedIn URL
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Joseph Martino’s work email
addresses are
joseph_martino@newyorklife.com -
New York Life Insurance |
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