Team oriented, motivated and educated leader offering extensive experience in the Compliance Field and Business Administration. Strong customer service focus, with efficient capacity to analyze and resolve problems and provide client support. Excellent communications and interpersonal skills; ability to establish and foster positive professional relationships, while orchestrating both team and independent tasksin an office environment. Seeking a position that would broaden and sharpen various skills and capabilities to drive a company closer to its overall professional goals.
Compliance Specialist, 06/2009 to CurrentCompliance Supervisors International Inc － Keyport, N.J.
Perform on-site compliance examinations of brokerage operations to ensure the firms are adhering to the rules and regulation of their parent company as well as their governing body (SEC, FINRA, NFA and CFTC).
Championed in developing several effective strategies that resulted in increased efficiencies of the on-site compliance examination process.
Create and implement controls to prevent compliance exceptions.
Communicate with members and member organizations concerning interpretation of rules and requirements.
Develop and prepare final quality examination reports and lead exit interviews to inform member firm's senior management of exceptions identified.
Design and assist firms in implementing necessary corrective action for exceptions identified.
Conduct reviews and test of firm's internal supervisory controls to ensure compliance with governing body rules and regulations
Execute on-site anti-money laundering examinations of brokerage operations to determine if the firm's anti-money laundering policy and procedures are in compliance with the governing body's rules and regulations and ensure all employees are properly trained in the detection of anti-money laundering activities.
Examination scope includes a review of the firm's Anti Money Laundering policy, Office of Foreign Asset Controls reviews, customer identification procedures and suspicious activity reporting.
Analyze trade data and test trading practices for possible front-running, market manipulation and churning of customer accounts.
Franchise Owner / Operator, 10/2007 to 10/2009Molly Maid － Red Bank, N.J.
Created a marketing strategy that resulted in growth of over 100 clients in less than a nine month period.
Owned a residential cleaning service that serviced over 100 customers and managed six employees.
Purchased, managed the franchise and performed the day to day functions and business operations.
Priced contracts for residential cleaning.
Scheduled and supervised work force to optimize time and profit.
Analyzed financial data to make educated decisions to better utilize company resources.
Developed and executed an effective marketing plan to increase brand awareness.
Developed and prepared financial analyses, budgets, and financial projections.
Constantly analyzed and performed vendor analysis resulting in a reduction of overhead of 20%with no disruption in quality.
Vice President/Specialist, 10/2000 to 01/2007M.J. Meehan, L.L.C. / Bank of America Specialist, Inc － New York
Acted as a catalyst by bringing buyers and sellers together at the point of sale on the exchange floor.
Generate year over year revenue increases in small and large cap stocks while maintaining liquidity in fast-paced trading environment.
Functioned as market coordinator by exercising leadership and managing trading crowd activity in a wide variety of high profile stocks.
Maintained a liquid and continuous two-sided agency auction market by acting as agent and principal.
Responsible for managing firm positions and daily trade turnover of approximately 70 million dollars with profitable outcomes.
Established a positive professional relationship with listed companies, floor directors, and professional traders from other large broker firms.
Served as a consultant on proprietary trading systems to stream line with NYSE Hybrid system.
Served as a point of contact for the implementation of NYSE ARCA trading platform for Bank of America.
Supervised and managed clerks through Bank of America's mentoring program.