Compliance Manager Vp Resume Example

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Jessica Claire
  • , , 100 Montgomery St. 10th Floor
  • H: (555) 432-1000
  • C:
  • Date of Birth:
  • India:
  • :
  • single:
Professional Summary

Detail-oriented Compliance Manager offering over 20 years of experience in the financial services industry. Advanced knowledge of regulatory compliance with proven track record of partnering with executives and business leaders to identify vulnerabilities and create corrective actions. Collaborative and team-oriented with excellent communication and interpersonal skills to foster strategic partnerships and promote company reputation.

  • Effective Communicator
  • Organizational Development
  • Relationship and Team Building
  • Regulatory Compliance
  • Industry Expertise
  • Complex Problem Solving
  • Process Improvement
  • Quality Control Planning
Work History
Compliance Manager, VP, 04/2014 to Current
JPMorgan Chase Bank, N.A. City, STATE,
  • Perform on-site compliance branch and OSJ examinations to determine adherence to firm policies and procedures.
  • Examinations consists of but are not limited to on-site inspections, a review and analysis of registered representative emails, various reports and account documentation, and interviews with advisors and Wealth Management Market Directors.
  • Evaluate findings and formulating conclusions in written reports Regional Directors, Market Directors and Supervisory Managers.
  • Partner with various individuals throughout the organization such as Supervisory Managers, Market Directors, Regional Compliance Managers, Regional Compliance Officers, etc.
  • Effectively communicate to Supervisory Managers any yearly examination changes.
  • Mentor and train new employees
Regional Sales Supervision Principal, 10/2010 to 03/2014
Securities America City, STATE,
  • Home office OSJ who supervised direct report registered representatives and OSJ branch managers.
  • Transaction review for suitability of products such as variable products, stocks, options, bonds, mutual funds, alternative investments, etc.
  • Conducted secondary review of alternative investment proposals.
  • Reviewed exception reports to identify churning, excessive commissions, missed breakpoints, improper licensing, etc.
  • Investigated questionable transactions/conduct to determine if corrective action is necessary.
  • Reviewed written and electronic correspondence.
  • Conducted annual on site reviews of direct reports and OSJs and discussed firm policy and procedures and regulatory trends.
  • Conducted Annual Compliance Meetings.
  • Reviewed and approved outside business activities, annual attestations, office sharing arrangements, etc.
  • Trained and mentored new employees.
Compliance Manager I, AVP, 11/2000 to 04/2009
Wamu Investments, Inc, A JPMorgan Chase Company City, STATE,
  • Managed the firm's Surveillance and Examination team. Team members were located in the corporate office as well as offsite locations.
  • Revised, developed and managed the Heightened Supervision program for the firm. Presentations were made to the President, the Chief Compliance Officer and the Legal Department.
  • Managed and conducted internal investigations of various representatives to ensure sound business practices.
  • Developed and implemented a risk based branch, back office and OSJ examination module.
  • Conducted annual exams of the firm's Investment Advisory program to ensure adherence to the Investment Advisers Act of 1940. Areas of examinations included the portfolio management process, safeguarding of client assets, processes to value client holdings and assess fees, etc.
  • Improved the surveillance and account review process by testing and implementing a third party system which identified accounts requiring additional review.
  • Managed the development and implementation of the compliance department’s cross training program.
  • Primary point of contact for several regulatory examinations in connection with the firm’s Registered Representatives.
  • Conducted email surveillance to ensure adherence with firm policies.
  • Provided trending reports in connection with branch exams, OSJ exams and mystery shops to senior management.
  • Reviewed employees' brokerage statements to ensure adherence with firm policies.
  • Provided guidance and clarification regarding the firm's policies and procedures to front and back office employees via monthly compliance outreach calls.
  • Conducted Annual Compliance meetings for both front and back office employees.
  • Implemented the procedure and analysis of laptop forensics for the Wamu Investments’ Client Retention Program.
Customer Relationship Officer, 04/2000 to 11/2000
TD Waterhouse City, STATE,
  • Built and maintained relationships with customers by making courtesy/check-up calls.
  • Brought assets into the firm by profiling customers and conducting ACATs.
  • Assisted customers with questions or problems with their account(s).
  • Placed stock trades for customers.
  • Conducted seminars for current and potential customers on basic investing.
Bachelor of Science: Biological Sciences, Expected in 12/1995
University of California, Irvine - Irvine, CA
Bachelor of Arts: Psychology, Expected in 12/1995
University of California, Irvine - Irvine, CA

Series 4, 6, 7, 24, 53, 63 and 65

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Resume Overview

School Attended
  • University of California, Irvine
  • University of California, Irvine
Job Titles Held:
  • Compliance Manager, VP
  • Regional Sales Supervision Principal
  • Compliance Manager I, AVP
  • Customer Relationship Officer
  • Bachelor of Science
  • Bachelor of Arts

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