Judi Oginsky

Compliance Assistant

  • Performs all tasks associated with in-processing of MMLIS new business submitted
    through the agency
  • Responsible for Compliance Organization Chart/Compliance Files
  • Maintains certain logs for inspection
  • Manges all Orphan accounts for reassignment and agent reassignments
  • Conducts client service calls
  • Assists Compliance Officer in scheduling and maintaining Personal Compliance Interviews and Detached Office Inspections
  • Point of Contact for all sales material submissions for compliance approval
  • Assists in the financial planning process for advisors
Phone 972-348-6336