COMPUTER SKILLS:

Microsoft Office, Excel, Powerpoint, LexisNexis Risk Solutions, Google Analytics

PROFESSIONAL EXPERIENCE:

Confidential, Boca Raton, FL

Registered Securities Representative

Responsibilities:

• Obtained current industry practices, financial services products, and regulatory compliance requirements.
• Coached and mentored less experienced Investment Consultants on compliance and financial services products with respect to KYC/KYP and in conjunction with sector concentration, suitability, and appropriateness standards.

Confidential, Boca Raton, FL

Administrative

Responsibilities:

• Developed/implemented/performed test result comparisons for best business practices.
• Procured procedures that ensured timely deadlines of accounts payables and accounts receivables.
• Performed human resources management activities, identified performance problems, delivered guidance for remedial actions, reviewed performance, and participated in interviewing/selecting 3rd party contracting.
• Designated contact person, of all in - house legal/business, and regulatory authority matters, for the following:
• Drafted contracts, proposals, and correspondence for content and grammar as well as financial reports.
• Negotiated and reviewed for accuracy all 3rd Party contracts between Clients, Vendors, GCs and the Firm.
• Coordinated yearly regulatory compliance and CEU requirements for all professionally licensed employees.
• Supervised projects' team managers, with budget ranges of $250,000 - $1,000,000+, including Clients, Architects, Suppliers, and GCs during each phase to meet scheduled deadlines and to ensure complete client satisfaction.
• Used independent judgment, multiple disciplines, and multi-tasking skills to evaluate each business need.

Confidential, Miami Lakes, FL

Assistant Chief Compliance Officer

Responsibilities:

• Assisted Confidential in all day-to-day intradepartmental and administrative RIA compliance related support activities.
• Designated contact person for all written customer complaints, which included:
• Coordinated and assigned, on a case-by-case basis, the gathering, analyzing, relevant documentary evidence.
• Submitted Confidential electronic reporting, log maintenance of same for senior management/regulatory authorities.
• Responsible for oversight of all "closed" customer complaint files.
• Performed advertising and sales literature reviews submitted by RIAs and Home Office members.
• Drafted new WSPs, compliance manuals, and ensured compliance by all RIAs and staff.
• Partnered with department managers to coordinate and test amended WSPs for gaps, as needed .
• Interacted and coordinated with regulatory auditors; answered requests and retrieved archived documentation.

Confidential, Miami, FL

IA/BD Regulatory Compliance Consultant

Responsibilities:

• Developed custom compliance policies, procedures, amended WSPs, and performed tool testing, as needed.
• Performed mock regulatory examinations, reviewed sales/advertising literature, and AML surveillance methods.
• Reviewed Form U4, U5, Form ADV and Firm Brochure for (CRD/IARD) regulatory accuracy, amended as needed.
• Developed IAs' Code of Ethics guidelines, which lowered regulatory deficiencies by 12%; produced corrective action calendars, improved ADV filings, and personal securities transaction processes.
• Point person for development Bank's Sales Literature and Advertising Submissions and Review Platform.
• Drafted WSPs, developmental supervisor and work-flow structure designs, IARs' sales literature submission templates, and trained bank compliance personnel on sales literature review processes.
• Performed targeted internal control reviews, identified work-flow and submissions turnaround-time deficiencies.
• OFAC and FinCEN rules and regulations, and practical compliance knowledge of retail banking practices.

Confidential, WPB, FL

Director

Responsibilities:

• Designated firm contact person for all outside mutual fund companies and managed account vendors.
• Reviewed daily purchase & sales blotters, suspicious trade reviews, and verified clients' suitability criteria, partnered with individual Investment Counselors on a case-by-case basis.
• Developed/Iimplemented WSPs, control tests for sector concentration, suitability and appropriateness of closed-end and mutual funds, answered Investment Consultant's inquires as needed.
• Reviewed mutual funds and managed account products 3rd party Selling Agreements.
• Independent AML auditor utilizing Pershing, LLC statistical analysis platform, monitored individual "high-level" money flow accounts, detected potentially suspicious activity.
• Trained Operations staff, identified suspicious activity, and conducted 314(a) account reviews.

Confidential, WPB, FL

Compliance Senior Manager

Responsibilities:

• Supervisor; gathered relevant documentary evidence, which was reviewed by senior management rule making.
• Drafted state and regulatory authority correspondence, drafted amended Form U4 language, as needed.
• Maintained electronic reporting Confidential log for senior management and regulatory review.
• Responsible for "closed" customer complaint files.
• Developed case-study WSPs for gathering, analyzing, discerning all relevant documentary evidence.
• SAR Coordinator Highlights:
• Drafted detailed narratives of "SAR" or "No SAR" memos.
• Filed SAR reports, monitored ongoing investigations, corresponded with regulatory authorities, as needed.
• Maintained SARs "Closed files" for completeness, regulatory requirements, and senior management.

Confidential, Fort Lauderdale, FL

Corporate Law Clerk

Responsibilities:

• Drafted, for attorneys' signatures, relevant legal documents related to the financial services and banking industries.
• Performed legal (LexisNexis) research, prepared memorandums of law, legal briefs, and case summaries.