Portfolio Podcast Episode 10: Managing Exam Priorities With Carol Goulding & Serina Shores
11/03/22 • 23 min
Managing SEC and FINRA exam priorities isn't always a walk in the park, but guest host Carol Goulding (M&T Securities) and guest Serina Shores (Huntington Financial Advisors) break down how they do so effectively — and have fun along the way — in this edition of the BISA Portfolio Podcast. Topics discussed include:
- Process for analyzing letters (8:12)
- Finding best practices (10:45)
- Contacting regulators directly (12:52)
- Addressing results of FINRA analysis (15:47)
- Involving legal staff (16:46)
- Reporting to the board (19:16)
- Implementing and tailoring training (21:24)
Please note that all comments represent the opinions of the speakers and don't necessarily represent the opinions of their firms.
Carol Goulding is a senior vice president with banking and securities industry experience concentrating on regulatory and compliance issues. She is currently the senior compliance manager for Wilmington Trust’s Wealth Division and is responsible for overseeing business policies and procedures to ensure compliance with regulatory and ethical sales practices. She holds several FINRA licenses as well as a Life, Accident and Health license.
Serina Shores is the senior vice president - chief compliance officer of Huntington Financial Advisors. She has over 23 years of experience in the industry in various roles. Prior to Huntington Financial Advisors, she served in multiple capacities at Washington Mutual’s WM Financial Services and JP Morgan Chase’s Chase Investment Services Corp. She is married and has two children and a running partner — Buster the Cavachon dog.
BISA's Regulatory & Compliance Program serves as a resource for BISA member companies in an increasingly stringent regulatory environment. BISA partners with qualified firms to provide strategic insights and regulatory, compliance and risk management expertise through regular editorial content submission, training and education, conference programming and other monitoring and risk management information services that would benefit BISA members. BISA accomplishes this through two yearly regulatory and compliance summits, one in the fall and one in the spring. Learn more about these events here. BISA members are also welcome to join the monthly Regulatory & Compliance Networking Gr
BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel.
Managing SEC and FINRA exam priorities isn't always a walk in the park, but guest host Carol Goulding (M&T Securities) and guest Serina Shores (Huntington Financial Advisors) break down how they do so effectively — and have fun along the way — in this edition of the BISA Portfolio Podcast. Topics discussed include:
- Process for analyzing letters (8:12)
- Finding best practices (10:45)
- Contacting regulators directly (12:52)
- Addressing results of FINRA analysis (15:47)
- Involving legal staff (16:46)
- Reporting to the board (19:16)
- Implementing and tailoring training (21:24)
Please note that all comments represent the opinions of the speakers and don't necessarily represent the opinions of their firms.
Carol Goulding is a senior vice president with banking and securities industry experience concentrating on regulatory and compliance issues. She is currently the senior compliance manager for Wilmington Trust’s Wealth Division and is responsible for overseeing business policies and procedures to ensure compliance with regulatory and ethical sales practices. She holds several FINRA licenses as well as a Life, Accident and Health license.
Serina Shores is the senior vice president - chief compliance officer of Huntington Financial Advisors. She has over 23 years of experience in the industry in various roles. Prior to Huntington Financial Advisors, she served in multiple capacities at Washington Mutual’s WM Financial Services and JP Morgan Chase’s Chase Investment Services Corp. She is married and has two children and a running partner — Buster the Cavachon dog.
BISA's Regulatory & Compliance Program serves as a resource for BISA member companies in an increasingly stringent regulatory environment. BISA partners with qualified firms to provide strategic insights and regulatory, compliance and risk management expertise through regular editorial content submission, training and education, conference programming and other monitoring and risk management information services that would benefit BISA members. BISA accomplishes this through two yearly regulatory and compliance summits, one in the fall and one in the spring. Learn more about these events here. BISA members are also welcome to join the monthly Regulatory & Compliance Networking Gr
BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel.
Previous Episode
Portfolio Podcast Episode 9: DE&I Rising Stars (Part 1)
In this first part of a two-part series highlighting BISA DE&I Rising Stars Program participants, guest host Piera Valle (Pacific Life) is joined by Jenny Kaskel (InspereX) and Michael Lollman (Frost Investment Services), both from the program's 2021 cohort.
They share their stories, thoughts and advice after more than a year spent as program participants, discussing topics including:
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The BISA DE&I Program is an exclusive BISA-sponsored recognition and leadership development program for professionals who have demonstrated commitment to creating an impact in and advancing DE&I in our industry or within their communities. It’s designed to foster professional growth, leadership growth and career advancement for diverse individuals through mentoring, networking events and volunteer opportunities.
If you know someone who would be perfect for this program, nominate them for the 2023 cohort by Oct. 31, 2022.
BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel.
Next Episode
Portfolio Podcast Episode 11: DE&I Rising Stars (Part 2)
In this second part of a two-part series highlighting BISA DE&I Rising Stars Program participants, guest host Piera Valle (Pacific Life) is joined by Amy Busch (The Huntington Investment Company) and Mary Tuggle (iCapital), both from the program's 2022 cohort.
They share their stories, thoughts and advice after almost a year spent as program participants, discussing topics including:
- Benefits of having a mentor 7:03
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- and more!
The BISA DE&I Program is an exclusive BISA-sponsored recognition and leadership development program for professionals who have demonstrated commitment to creating an impact in and advancing DE&I in our industry or within their communities. It’s designed to foster professional growth, leadership growth and career advancement for diverse individuals through mentoring, networking events and volunteer opportunities.
BISA is the leading financial services industry association dedicated to serving those responsible for the marketing, sales and distribution of securities, insurance and other financial products and advisory services through the bank channel.
BISA Portfolio Podcast - Portfolio Podcast Episode 10: Managing Exam Priorities With Carol Goulding & Serina Shores
Transcript
Carol Goulding 0:09
Hello, I would like to welcome everyone to the BISA Portfolio Podcast, a podcast elevating the voices of Bank Insurance & Securities Association members. I'm Carol Golding, guest host of this episode exploring the ins and outs of the FINRA priority exam letter. Today, I'm speaking with Serena shores, who is Chief Compliance Officer of Huntington Investment Company. But first, I want to remind you to please subscribe to this podcast. And leave it a rating and review
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