Assistant Director of ALARIC Compliance Services, LLC
Mildred Hernandez has 16 years of experience in various retail broker dealer compliance departments. Most recently she worked in the Compliance Department of Bank of America's retail brokerage unit where she was responsible for the review and analysis of customer complaints. Prior to Bank of America, she worked at Oppenheimer & Co., where her responsibilities included commission guideline review for equity and option trades. In addition, she was employed by Gruntal & Co. in the retail broker/dealer Compliance Department for 13 years, where her responsibilities included personal trade monitoring and reporting, monitoring the Chinese Wall in compliance with the 24 hour restriction, daily surveillance of Mutual Fund UIT trading and quarterly transmission of the employee certifications and customer complaints to the exchange as per Rule 351D.
