North Highlands CA 95660
Accomplished Compliance Examiner seeking full-time work with growing firm in which to use my skills and experience to aid in the growth of company.
Highlights of Qualifications:
- Vast experience in a regulatory, compliance Possess experience in the securities industry
- Profound knowledge of Equities Securities products, trading rules, regulations and Equities Settlement
- Extensive knowledge of FINRA and SEC rules
- In-depth knowledge of net capital, reserve formula calculation and review and margin requirements
- Proficient with PC, Word, Excel and Access
- Excellent organization and follow-up skills
- Excellent verbal and written communication skills
Compliance Examiner, August 2005 – Present
Finra, Colorado Springs, CO
- Performed evaluation of compliance programs and business structure.
- Reviewed sales and marketing practices.
- Analyzed financial and operational conditions.
- Developed reports based on examination findings.
- Interacted with investors while investigating complaints.
- Communicated with all levels of member firm employees.
Compliance Examiner, May 2000 – July 2005
Waddell & Reed, Colorado Springs, CO
- Scheduled, planned and did pre-audit preparation for branch office audits.
- Interviewed financial advisors, managers and administrative assistants regarding office procedures and advisor activities.
- Developed report findings of office visits and took follow-up action as necessary.
- Responded to routine inquiries from RVPs and managers concerning adherence issues.
- Completed expense reports and other paperwork in a timely, accurate way as requested.
Bachelor’s Degree in Business Administration, Missouri Valley College, Marshall, MO