North Highlands CA 95660
To obtain a Chief Compliance Officer position with organization where challenges and opportunities make way for career development.
Summary of Qualifications:
- Remarkable experience in a financial services firm
- In-depth knowledge of asset management compliance, marketing review, compliance training and testing
- Profound knowledge of drafting compliance and desk procedures
- Sound knowledge of conducting risk assessments in a complex asset management organization
- Familiarity with securities and investment advisers laws and regulations
- Ability to handle matters discretely and confidentially
- Superior presentation, analytical and facilitation skills
- Strong emotional intelligence and people skills
- Ability to provide regulatory and industry best practices advice
- Possess overall business approach to problem solving
Chief Compliance Officer, August 2005 – Present
Freedom One Financial, Pittsburgh, PA
- Identified potential compliance vulnerability and risk in the organization.
- Developed, monitored and managed company’s compliance policies and issues, internally and externally.
- Updated and prepared required registrations and disclosure documents.
- Conducted compliance audits, inspection and reviews.
- Interacted with legal and regulatory team.
- Developed and administered compliance training to staff.
- Participated in long-terminal strategic planning.
Chief Compliance Officer, May 2000 – July 2005
SPC Financial, Inc., Pittsburgh, PA
- Developed, initiated, maintained and revised policies and procedures designed to avoid and minimize the risks identified.
- Worked with Human Resources and others as appropriate, performed education and training programs for employees.
- Directed and managed Compliance Hotline.
- Recommended senior management to implicate disciplinary and corrective action.
- Ensured enforcement agencies and provided them suitable reporting of violations.
- Monitored and coordinated compliance activities of other departments to remain current of the status of all compliance activities.
Bachelor’s Degree in Business Administration, Purdue University, West Lafayette, IN