Laura Rabon joined the LeGaye Law Group in 2013, and is a team member in our compliance and financial services support group. As a team member, her duties with us include
- Financial and FINOP services support
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- Provides support for FINOP services
- Processing accounts payables and receivables for clients
- Prepares monthly bank reconciliations for clients
- Provides support for FINOP and accounting services
- 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:
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- 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