Compliance Consultant Resume Houston, TX - Hire IT People

SUMMARY

Expertise in managing compliance and administrative operations for leading Confidential banking enterprises.
Natural leader and consultant with strong technical, regulatory and accounting management skills. Background encompasses all aspects of Confidential operations - front office, middle office and back office operations.
Well-versed in providing full scope leadership and support on growth and risk execution along with managing all areas of complex projects, contracts, programs, portfolio valuations, financial reporting, AML audits, year-end audits, budgets and trade deals. Certified as a Civil Service Manager/ Administrator.

Areas of Expertise:

Compliance & Risk Reduction Complex Budget Management Policy Development

FINRA Compliance Leading Investigations Staff Leadership

Uncovering Fraud Client Relationship Management Strategic Planning

Risk Response Internal Reporting / External Disclosures Auditing

Financial Modeling/ Forecasting Data Analytics Cost Controls

PROFESSIONAL EXPERIENCE

Confidential, Houston, TX

Compliance Consultant

Responsibilities:

Established a compliance infrastructure including cost controls framework to protect the firm and its employees from liability during major operational transition.
Serve as a strategic advisor to senior management ensuring the efficacy of internal controls by providing consultation on compliance guidelines for the M&A integration between Confidential ., and Oppenheimer Funds Confidential .

Confidential, Houston, TX

Manager

Responsibilities:

Central liaison to front, middle and back office operations and ensured an effective flow of communications and collaborations.
Directed daily trading floor operations and support for FX, Interest Rate Swaps and complex trade deals for client portfolios valued at up to $500M with a focus on streamlining and maximizing efficiencies.

Confidential, Houston, TX

FX Structured Derivatives Analyst

Responsibilities:

Maximized efficiencies, streamlined operational procedures, confirmed trades, executed confirmations, and ensured trades met eligible requirements.
Managed the allocation, drafting, and confirmation of structured, complex vanilla and exotic over the counter derivatives trade confirmations in accordance with CFTC and ISDA guidelines and regulations.
Increased the monitoring, calculating and liaison on all life cycle events for structured/complex FX, Bonds, Physical & Financial Gas, Power and Metal trade deals.

Confidential Staffmark, Houston, TX

Trade Analyst

Responsibilities:

Orchestrated the structuring of trade captures, transactions, and confirmations of various products for Chevron's Global Products, Supply & Trading, logistics, marketing network, and third-party customers.
Performed pre-trade and post-trade portfolio compliance analysis, and monitored funds and separate account compliance through SOX documentation and controls.
Executed daily deal entry support for purchase and sell-side counterparty trade confirmations.