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Yyyyyy x. yyyyyy
0000 xxxxxx xxxx , xxxx
, xxxxx 00000
xxx-xxx-xxxx
abc@xyz.com
Compliance Officer
Executive Profile
Results-focused Compliance Officer eager to contribute regulatory expertise as well as dynamic organizational/operational management and project administration skills toward supporting a progressive organization in optimizing performance. Offering extensive experience in achieving consistent results and meeting organizational objectives. Strong leader who excels in directing top-performing teams. Proficient in Microsoft Word and Excel; working knowledge of PowerPoint.
Areas of Expertise
5 PARTS of Compliance: Policies/Procedures • Advisory • Regulatory • Training • Surveillance
Research & Analysis • Communications
Major Accomplishments
Uncovered and corrected an oversight in which the firm was omitting or passing incorrect client information to individuals in response to Regulatory inquires by developing a better account name search facility.
Prevented inaccurate regulatory reporting and possible sanctions by creating a short position versus long restricted position exception report allowing for necessary adjustments to be made before the report was to be filed.
Uncovered a major reporting problem in the firm s LOPR (Large Option Position Report) and worked with the IT (Information Technology) area to correct it.
Career Background
Eastgate Securites, LLC 2008-Present
Chief Compliance Officer
Conduct comprehensive analysis of regulatory changes to train and update staff.
Contribute dynamic organizational skills in planning and coordinating the firm s AML Compliance Program including conducting OFAC and SISS reviews.
Apply industry expertise toward writing, implementing and updating Written Supervisory and Control Procedures, Anti-Money Laundering, and the Business Continuity and Contingency Plan manuals.
Strategically present proactive training programs focused on maximizing critical regulatory compliance.
Monitor and review flagged employee e-mails using SMARSH software.
Yyyyyy x. yyyyyy page 2 of 2
Career Background Continued
Cohen Specialist, LLC 2007-2008
Employee
Contributed broad knowledge of regulations toward proficiently drafting, implementing and maintaining firm s Written Supervisory Procedures dealing with regulatory changes applicable to firm business.
Goldman Sachs Execution & Clearing, L.P. (Previously Spear, Leeds & Kellogg) 1987-2006
Vice President - Equities Compliance, Goldman Sachs
(2000-2006)
Senior Vice President, Spear, Leeds
& Kellogg (1998-2000)
Vice President, Spear, Leeds &
Kellogg (1992-1998)
Assistant Vice President, Spear, Leeds
& Kellogg (1989 -1992)
Applied sharp critical thinking skills toward defining and implementing compliance policies and procedures regarding regulations and best practices.
Relied upon to lend industry expertise toward advising on general compliance matters, as well as restricted stock sales.
Proactively interfaced with Legal Department through both written and verbal communications to support arbitration, litigation and compliance related matters.
Ensured optimal operational performance in compliance with regulatory standards by coordinating onsite examinations and managing customer complaints.
Strategically developed and presented proactive training programs focused on maximizing critical regulatory compliance.
Proficiently compiled and produced detailed surveillance reports, providing senior management with critical tools for ensuring compliance.
Prior Experience
Senior Options Analyst - American Stock Exchange
Licenses/Education
FINRA Licenses Series 7 and 24
Bachelor of Arts in Economics - Brooklyn College, New York, NY
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