EAC Compliance Specialist Resume

SUMMARY

More than three decades of broad experience in the securities industry
Consistently recognized for extraordinary achievements in sales, management, customer service, and business growth
Self - motivated and goal-oriented, thrives in both independent operations and team dynamics, builds alliances and engages in cross functional activities
Demonstrates professionalism, tenacity, and dedication, with solid work ethic and friendly demeanor in executing professional responsibilities
Excellent oral and written communication and relationship building skills

PROFESSIONAL EXPERIENCE

Confidential

EAC Compliance Specialist

Responsibilities:

Investigate and prepare written responses to customer complaints received from clients, their Attorneys, and Regulatory Agencies.
Work with the Merrill Edge Complaint Team (MECT) and partners (Legal, Operations, and LOB Supervision) to investigate, analyze, and resolve complex problems.
Suggest improvements, escalate issues, identify and communicate adverse trends, and ensure risks were addressed.

Confidential, Princeton, NJ

Co-Founder and Managing Member/Chief Compliance Officer

Responsibilities:

Directly involved in all operational aspects of both the advisory business and the hedge fund
Established and maintained a comprehensive compliance program for the firm
Developed, executed and maintained Written Supervisory Procedures designed to ensure compliance with all relevant FINRA, SEC and MSRB regulations
Authored the firm’s Compliance Manual, Code of Ethics, and brochure (ADV II)
Managed the registration and filings for the firm and its personnel with the appropriate regulatory agencies and serve as the primary contact with regulators during exams and inquiries
Created and managed Business Continuity Plan for the advisory firm
Established model for the firm’s document and email archive
Work directly with States and Attorneys on filings, registrations and renewals
Maintained company P&L and trade records and reports on all business activity
Conducted Annual Compliance Meetings

Confidential, New York, NY

Partner/Branch Manager/Options Strategist

Responsibilities:

Managed P&L responsibility for the company’s flagship branch at 44 Wall St.
Managed staff of 50+ retail brokers and 60 ancillary personnel (trading and support staff)
Redirected firm’s focus from bonds to covered call strategy using ETF’s resulting in a doubling of commission revenue in a 2 year period
As Options Principal, established and administered an effective options compliance program. Monitored options trading for strict adherence to customer suitability
Trustee in the company’s 401(K) plan
Enforced FINRA and internal compliance procedures