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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