Jason Tripp
650-544-9823 trippjason@hotmail.com
Education 1993 – 1999
University of Arizona Tucson, Arizona
Bachelors of Science: Accounting and Business Administration 1999
Bachelors of Art: Political Science 1997
Professional experience
2004 – Current Financial Marketing Walnut Creek, CA
Compliance Director
- Resolve an existing regulatory impasse with the NASD.
- Create NASD reviewed advertising material such as monthly newsletters, seminars, and booklets that are licensed to large broker dealer firms such as Raymond James, Lincoln Financial and many others.
- Supervise the activities of two outside attorneys and four salaried employees.
- Work in the office three days per week, telecommute two days.
2003 – 2004 Atlas Securities San Leandro, CA
Compliance Administrator
- Design and maintain the Mutual Fund regulatory compliance system covering sixteen proprietary funds (see atlasfunds.com).
- File approximately fifteen pieces of print/electronic advertisement with the NASD on a monthly basis.
- Revise the firm’s Written Supervisory Procedures to fully conform to SEC and NASD standards.
- Design and implement Anti Money Laundering procedures.
- Review Sales Literature and Advertisements for compliance with NASD and SEC regulations.
2000 - 2003 NASD San Francisco, CA
Examiner
- Audit brokerage firms such as Charles Schwab, Wells Fargo Investments, and eTrade to ascertain compliance with the rules and regulations of the SEC, NASD, and MSRB.
- Audit and test the Anti Money Laundering procedures of brokerage firms.
- Audit and test the U.S. Patriot Act Compliance procedures of brokerage firms.
- Audit and test the Mutual Fund sales practices of brokerage firms.
- Investigate customer complaints against brokerage firms and determine whether or not to pursue formal regulatory action.
- Audit and test the Written Supervisory Procedures of brokerage firms.
- Review the print/electronic advertisements and sales literature of brokerage firms.
- Audit the Net Capital calculations of brokerage firms and review subordinated loan agreements.
Objective
- My objective is to use my knowledge and experience in both the regulatory and private sectors to assist an NASD member firm on a part-time basis.
Volunteer experience
1988 – 1995 Master Counselor of Old Pueblo Chapter De Molay. Tucson, AZ.
2000 –2004 Volunteer at the San Francisco Food Bank. San Francisco, CA
Licenses Series 7, 24, 63 and a clean U-4.
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