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OSJ Compliance Officer Resume Example

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OSJ COMPLIANCE OFFICER
Professional Summary

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.

Skills
  • Compliance documentation
  • Developed training for AML, Reg BI, KYC, FINRA Rule 2165 (Financial Exploitations of Specified Adults)
  • Project organization
  • Vendor / Supplier Annual Due Diligence
  • Internal Audits
  • Supervision
  • Investigations skills
  • MS Office and Adobe
  • Advertising and Correspondence Compliance Review
  • Policy analysis, Document and Trade review
Work History
OSJ Compliance Officer, 08/2008 to Current
Rda Financial Network – Coralville, IA
  • 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.
OSJ, 05/2000 to 01/2007
First Financial Bancorp – Hamilton, OH
  • 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.
Registered Financial Representative, 07/1995 to 09/1999
First Financial Bancorp – Hamilton, OH
  • 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.
Education
BusinessUniversity of Cincinnati - Cincinnati, OH
Music EducationMount St. Joseph University - Cincinnati, OH
High School Diploma: 05/1984
McCauley - Cincinnati
Certifications
  • Series 24 - Jan 2001
  • Series 7 - Oct 1993
  • Series 63 - Dec 1995
  • Insurance - Sep 1994
Systems

MicroSoft Office

RedTail

DocuSign

TDA's VEO

DropBox

Sharefile

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Resume Overview

Companies Worked For:

  • Rda Financial Network
  • First Financial Bancorp

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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