OSJ Compliance Officer Resume Example
Detailed-oriented Compliance Officer with 19 years of Brokerage Compliance industry experience working collaboratively with staff. Hardworking and driven with quality-focused and proactive approach.
Knowledgeable about industry regulations, process evaluations and procedural reviews. Proficient in several proprietary compliance systems, Microsoft Office and Adobe. Well-versed in policy development, training management and reporting.
Well-organized and systematic with excellent communication and planning abilities. Looking for challenging position in fast-paced environment.
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Rda Financial Network – City , STATE
- Developed and implemented internal reports to monitor employee compliance with firm's policies and procedures.
- Reported directly to OSJ and CCO compliance issues for investigation and resolution.
- Reviewed contracts for compliance and privacy-related issues.
- Wrote and presented reports outlining findings and recommendations from compliance audits.
- Prepared quarterly training programs to improve compliance at all levels.
- Oversaw and monitored trading system for front running, market timing, and best practice trading.
- Monitored data export from internal and external systems, identifying and reporting outliers and potential risk/compliance exposure
- Used MicroSoft Office and Firm's proprietary systems to create reports to keep senior management informed regarding compliance risks and standards.
- Scheduled and conducted annual due diligence of 3rd party money managers
- Played key Compliance role in growing RDA from a startup to an RIA with 1/2 billion in assets under management.
- Developed and Managed effective action plans to respond to audit discoveries and compliance violations.
First Financial Bancorp – City , STATE
- Developed and Managed Compliance program, including compliance oversight, on-site evaluations, and internal audits
- Worked with program manager to understand needs and provide comprehensive workflow and report structure. Served as project manager for all process improvements and regulatory initiatives
- Developed team communications and information for compliance meetings.
- Prepared and presented comprehensive reports to upper management, covering issues and recommendations.
- Managed quality programs to reduce overdue compliance activities.
- Structured programs, produced working documentation and implemented best practices.
- Played instrumental role in department-wide compliance assessment efforts, supporting enhancements in business processes and controls.
First Financial Bancorp – City , STATE
- Met with customers to assess needs, financial status and eligibility.
- Worked closely with clients to determine goals and recommend appropriate services to maintain long-term relationships with account holders.
- Increased accounts and assets under management through efficient account maintenance and maintaining relationships with repeat clients.
McCauley - City
- Series 24 - Jan 2001
- Series 7 - Oct 1993
- Series 63 - Dec 1995
- Insurance - Sep 1994
MicroSoft Office
RedTail
DocuSign
TDA's VEO
DropBox
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Resume Overview
School Attended
- University of Cincinnati
- Mount St. Joseph University
- McCauley
Job Titles Held:
- OSJ Compliance Officer
- OSJ
- Registered Financial Representative
Degrees
- Business
Music Education
High School Diploma : 05/1984
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