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Principal Examiner Resume Example

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PRINCIPAL EXAMINER
Summary
OBJECTIVE An experienced professional seeking a position in the area of Compliance, that will leverage the synergies of my front, middle, and back office experience, and regulatory knowledge.
Highlights
  • FINRA Series 4, 7, 24, and 63 Licenses
  • FINRA Certified Peer Coach
  • Studying for CAMS

 

 


  • Excellent communication skills
  • Excellent time management skills
  • Analytical and detail-oriented

Accomplishments

Auditing 

  • Extensive experience with Books and Records audits, including Financial Statements reviews, for member firms.
  • Rolled out [] new company products in just [] months, resulting in [].

 

Experience
Principal Examiner
September 2005FINRA － Woodbridge, New Jersey
  • Member Regulation February 2013 Responsible for reviewing member firms' financial, operational, and sales practice-related activities, for compliance with SEA, FINRA, and MSRB rules and regulations.
  • Conducted routine, cycle examinations of member firms.
  • Areas of review included Supervision, Organizational and Internal Risk Controls, Anti-Money Laundering, Net Capital Computation, Unregistered Offerings, Variable Products, Mutual Funds, Municipal Securities, Corporate Securities, Options, Trade Reporting, and Hedge Fund and Registered Investment Adviser activities.
  • Performed continual surveillance of member firms through FOCUS and Membership Agreement (CMA) filings, resulting in an in-depth understanding of firms' core business lines, enabling substantive dialogue between member firms and FINRA Staff.
  • Provided assistance to member firms regarding Notices to Members (NTM), rule interpretations, best practices, and current regulatory issues and/or "hot" topics.
  • Assisted FINRA Enforcement in preparing and.
Assistant Vice President and Account Manager
March 2004Pershing LLC － Jersey City, New Jersey
  • September 2005 Responsible for delivering the full spectrum of brokerage products, custody services, and technology support to Correspondents/ Introducing Broker Dealer Relationships.
  • Assisted the Sales Team in their efforts to "close" prospects within the sales pipeline.
  • This included outlining the firm's policies and procedures, products and services, and technology solutions.
  • Responsible for following-up on newly executed or revised clearing agreements, addendums, and pricing schedules.
  • Developed and maintained close working relationships with each Correspondent, and addressed unique needs and escalated issues.
  • Also acted as liaison for special requests that included prioritizing and monitoring projects, and chairing status meetings.
  • Responsible for introducing and rolling-out new product offerings.
  • Responsible for training Correspondents on internal procedures and requirements, workflow processes, back-office systems, and proprietary brokerage applications.
  • Attended Correspondent conferences upon re.
Vice President and Senior Relationship Manager
August 1997Harrisdirect LLC DLJdirect LLC, an affiliate of － Jersey City, New Jersey
Associate
March 1994Pershing LLC － Jersey City, New Jersey
  • Cash Management July 1996 Provided customer support to Correspondents.
  • Purchased and redeemed money market funds in customer accounts.
  • Responsible for reconciling and settling daily money market fund sweep activities for over 100 funds, representing over 18 fund companies.
  • Responded to all internal and external inquires related to money market, free credit, and margin interest in customer accounts.
  • Calculated and processed free credit and margin interest adjustments in customer accounts.
March 2001 to March 2004
  • April 2004 Responsible for delivering business-building solutions and support to Registered Investment Advisers.
  • Also responsible for managing the daily activities of four (4) Relationship Managers.
  • Worked extensively with Senior Management, Legal, and outside counsel in drafting new account applications and agreements, adviser and sub-adviser agreements, and institutional third-party services agreements.
  • Worked closely with Product Development in bringing new offerings to market.
  • Played an instrumental role in establishing a web-based separate account manager (sub-adviser) program; contributed business and operational insight.
  • Assisted Legal and Compliance to ensure advisers were adhering to, and complying with the firm's policies and procedures, and industry rules and regulations.
  • Established a written supervisory procedural manual (WSP) for the Institutional Services Support Team.
  • Also responsible for implementing and enforcing the WSP.
  • Provided direction to the Institutional Services Support Team, co.
Assistant Vice President and Assistant Branch Ma
October 1999 to March 2004
  • Managed the daily performance of eight (8) team leaders and over 95 Investor Services Representatives, while overseeing and directing all activities within the registered OSJ, main office.
  • Responsible for properly staffing all customer service shifts to ensure service level goals were being achieved.
  • Prioritized and delegated all daily tasks while ensuring staff was adhering to, and complying with the firm's policies and procedures.
  • Conducted weekly group meetings and one-on-one mentoring sessions.
  • Initiated training classes to develop team leaders.
  • Also managed the Regulatory Element of Continuing Education for Investor Services.
  • Responsible for conducting trending analysis of all incoming customer data, on a quarterly basis.
  • Also responsible for summarizing and presenting the results to Senior Management.
  • Implemented an enhanced Investor Services annual performance evaluation process by clearly identifying the measuring objectives linked to employee's performance.
  • Conducted and supervised the quart.
Team Leader
August 1997 to October 1999
  • Managed and developed a team of over 12 Investor Services Representatives.
  • Routinely monitored telephone conversations and email responses, for quality assurance and product knowledge.
  • Handled escalated customer inquiries.
  • Conducted quarterly and annual performance evaluations.
  • Responsible for the 1998 /1999 Needs Analysis and Training Plan for Investor Services.
July 1996 to August 1997Representative- Investor Services
  • Provided customer support to on-line brokerage account holders.
  • Responded to customer inquiries by telephone and/or email, related to account activities.
  • Also provided general information on the markets and current events impacting the markets.
  • Provided quotes, entered orders, accepted reorganization instructions, and calculated "real-time" account balances, including available cash and margin buying power.
  • Informed customers of new products and services being offered.
  • Responsible for navigating customers through web-based proprietary brokerage applications.
  • Also responsible for troubleshooting basic technical issues.
Education
Bachelors of Science : Business Management and Corporate Finance, 1994Kean University － Union, New Jersey, United States
Additional Information
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Resume Overview

Companies Worked For:

  • FINRA
  • Pershing LLC
  • Harrisdirect LLC DLJdirect LLC, an affiliate of
  • Representative- Investor Services

School Attended

  • Kean University

Job Titles Held:

  • Principal Examiner
  • Assistant Vice President and Account Manager
  • Vice President and Senior Relationship Manager
  • Associate
  • Assistant Vice President and Assistant Branch Ma
  • Team Leader

Degrees

  • Bachelors of Science : Business Management and Corporate Finance , 1994

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