Senior Director/Chief Compliance Officer responsible for overseeing, developing, and maintaining a national financial firm's robust compliance program across multi-business lines. Effective communicator with strong analytical, outstanding presentation and communication skills.
Spearheaded cross-functional initiative to achieve a robust compliance program across multi-faceted business lines. Develop and supervise written policies and procedures. Communicate via written and oral presentations to CEO and executives. Identify, assess, control and monitor compliance related risks. Implement action plans to address compliance related issues. Maintain and promote good working relationships with regulators. Act as a subject matter expert on compliance related matters, including advising management on compliance related risks and controls. Remain current on regulation matters and guidance issues by Securities Exchange Commission and Financial Industry Regulatory Authority.
Responsible for preparing analytical financial reports to clients, corporations and high net worth individuals. Worked with Chief Compliance Officer to achieve effective due diligence in areas of risk and concern. Established and maintained internal control procedures with effective follow-up procedures for examination and audit exceptions.
Prepared and presented financial investment performance reports for clients in an accurate and timely manner. Established management procedures for investments, trading, performance and asset allocations. Provided effective financial analysis and compliance with regulations.
Practiced as a Certified Financial Planner. Performed financial analysis and accounting of client's financial situation. Presented investment strategies to build and reserve wealth for clients.
Managed portfolio operations, administration and client service departments. Oversaw the operation of a mutual fund and shareholder relations. Directly involved with all levels of management.
- Certified Financial Planner (CFP) Designation
- Investment Adviser Certified Compliance Professional(IACCP)
- Series 7 and 63 licensed
- Series 24 licensed (General Securities Principal)
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