Extensive knowledge of policies and procedures related to securities industry regulation.
*Excellent research skills, including document review, analysis, and interpretation.
*Strong editorial background, including writing and proofreading reports, media notices, and employee training materials.
*Consistent record of providing superior customer service.
Microsoft Office (including Word, Excel, Access, and Outlook)
Evaluated government and legal documents related to criminal and financial regulatory events as part of registration review process determining employment eligibility of securities industry professionals.
Created and reviewed regulatory compliance forms submitted to online registration database for accuracy and completeness of required information.
Composed and edited reports and press releases distributed to print and online media outlets disclosing disciplinary actions taken against companies and individuals violating securities industry regulations.
Designed and revised work guidelines used by FINRA employees for completing assigned duties and responsibilities.
Implemented system enhancements and updates to databases maintaining registration qualifications and background information of securities industry professionals.
Responded to inquiries regarding regulatory compliance from securities industry clients and general public.
August 2016Master of Arts:University of Maryland - American StudiesCollege Park, MDAmerican Studies 3.442
January 1995Bachelor of Arts:Cornell University - HistoryIthaca, NYHistory Dean's List
AWARDS AND HONORS
*Employee of the Month, June 2006
*Peer Recognition Award, September 2006 and October 2007
*Recipient of letters of appreciation from compliance/registration departments of securities industry firms for providing courteous and exceptional customer service