Mark Soltys serves as a Vice President and Supervision Principal IV at Merrill Lynch, where he plays a crucial role in ensuring compliance and regulatory adherence within the financial services sector. With a robust background in Banking, Securities, and Risk Management, Mark leverages his extensive...
Mark Soltys serves as a Vice President and Supervision Principal IV at Merrill Lynch, where he plays a crucial role in ensuring compliance and regulatory adherence within the financial services sector. With a robust background in Banking, Securities, and Risk Management, Mark leverages his extensive expertise to oversee the review of marketing materials and social media communications for financial advisors. His responsibilities include the principal review of LinkedIn profiles, Advisor Match, and FA.com pages, ensuring that all content aligns with both internal standards and regulatory guidelines.
In addition to scrutinizing individual and team websites, Mark is instrumental in reviewing electronic communications sent by advisors through the firm’s Ecommunication tool. His meticulous approach not only safeguards the firm’s reputation but also enhances the overall client experience by ensuring that all communications are clear, compliant, and effective.
Mark holds a comprehensive suite of FINRA registrations, including Series 6, 7, 9/10, 24, 63, and 66, which underscores his deep understanding of the regulatory landscape and the intricacies of financial advisory services. His skill set encompasses a wide array of competencies, from trading and mutual funds to comprehensive risk management strategies. By fostering a culture of compliance and excellence, Mark Soltys significantly contributes to the integrity and success of Merrill Lynch’s operations, making him a vital asset in the ever-evolving financial services industry.
