Compliance Officer Resumes in US: See Resume

Compliance Officer Resume

Contact Candidate

Name:

See Resume

Location:

Experience:

1-3 yrs

Willing to Relocate:

Yes

Willing to Travel:

Yes

Most Recent Job Title:

Compliance Officer

Personal Website:

Objective:

PROFESSIONAL STRENGTHS

• High level of understanding of the securities industry, and thorough working knowledge of NASD rules and regulations
• Ability to analyze complex compliance issues and provide recommendations and solutions
• Excellent organization skills with strong attention to detail and the ability to manage multiple projects
• Ability to work successfully both independently and in a team environment
• Ability to meet tight deadlines under extreme pressure
• Strong written, oral communication and interpersonal skills
• Proficient in WebCRD system
• Computer proficient with Microsoft Office, Omni, and PowerImage
• Multi-lingual: Russian, Turkmen, and English

Licensure
Hold Series 7, Series 24 and Series 63 NASD licenses

Resume Text:

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als and monthly CRD accounting reconciliations
• conducting new-hire compliance meetings, tracking and enforcing new-hire compliance requirements
• coordinating with registered representatives to maintain record of all Outside business activities
• administration and tracking of Regulatory and Firm Element Continuing Education programs
• ensuring firm’s compliance with federal and state regulatory requirements, various NASD rules and internal policies
• maintaining an awareness of regular updates on compliance standards, new and/or revised policies/procedures, disclosure requirements and ensuring that information is effectively disseminated
• maintenance of books and records for specific internal compliance requirements

Additional duties include:
• assisting in the administration of the Anti-Money Laundering Program
• assisting with Form BD maintenance
• assisting in developing compliance procedures in response to NASD rule amendments or changes
• advising compliance department management of problem situations and recommending corrective actions
• assisting with personal trading and review of duplicate statements and confirms

American Express Financial Advisors, Inc., Chattanooga, TN
December 1999 - January 2001
Personal Financial Advisor

• Responsibilities included active marketing to prospective clients, meetings with clients to help identify their financial needs and goals, analyzing data and developing proposals, presenting recommendations and securing business through consultative selling skills.

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