Thomas Somelofske

Clearwater, Florida

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    Thomas Somelofske

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    Branch Office Exams
    Code of Ethics
    Policy & Procedure Testing
    Regulatory Exams
    Regulatory Filings
    Relationship Building
    Setting Priorities
    Team Building

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    Compliance professional with extensive in-depth experience in regulatory compliance.

    I have been the lead contact for SEC, FINRA and OCC regulatory examinations providing the regulatory agencies prompt and timely responses to their initial request items.


    Auditing & Compliance

    Risk & Quantitative Analysis

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