Allyson Saldivar joined the LeGaye Law Group in 2011 in a compliance and financial services support capacity. As a support services team member, her duties with us include
- Processing regulatory required licensing for firms, registered agents and non-registered associated persons for our broker-dealer and insurance clients
- Processing regulatory filing compliance deadlines for our broker-dealer clients, which include:
-
- Account Administrator annual reviews
- Agent terminations
- Annual Assessments
- Annual Renewals
- Business Continuity Plan updates
- Contact Questionnaire filings
- Continuing education
- Fidelity Bond renewals
- Senior Management Approvals
- Preparation and distribution of Written Supervisory Procedures
- Providing administrative support related to annual 3120 reviews and AML audits
Additionally, prior to joining the LeGaye Law Group, Allyson was employed as a legal secretary for a law firm.