Chief Compliance Officer Resume
Objective : Office Management professional with operations and compliance experience in the financial industry. Accomplished individual highly skilled in implementing processes that reduce error.
Skills : Health License, Management.
Description :
- Reviewed and approved transactions/trades coming through the B/D for suitability prior to them being released for execution.
- Directly supervised all facets of the compliance department, including advertising, surveillance, branch office examination.
- Assisted FIN/OP in gathering and interpreting documents required to file FINRA Focus Reports.
- Developed and drafted procedures for the AML programs. Additionally drafted policies for B/D self Audits.
- Reviewed and approved Account Information Forms, new direct business applications, and trading activity blotters.
- Reviewed and approval of advertising and marketing material in order to comply with FINRA regulations.
- Provided information on health programs and CRIHB leadership regarding the impact of the laws and regulations.
Experience
2-5 Years
Level
Junior
Education
BBA
Chief Compliance Officer I Resume
Objective : Dynamic examiner able to coordinate and direct all phases of project-based solutions while managing and motivating project teams to achieve optimal results.
Skills : Compliance Management, Audit, Operational Risk.
Description :
- Responsible for the due diligence process and transition to the Quest compliance program.
- Managed the compliance audit team, reporting outcomes to Executive Management as well as the Audit Committee of the Board of Directors.
- Developed, maintained and supported the implementation of updates to the Compliance Program and Plan.
- Routined interaction with the Audit Committee of the Board of Directors through quarterly presentations as well as ad hoc discussions.
- Investigated reports of alleged non-compliance.
- Performed compliance education for corporate and operational employees.
- Communicated and work with company general counsel as well as outside counsel regarding compliance issues.
Experience
2-5 Years
Level
Junior
Education
Public Policy
Chief Compliance Officer/Representative Resume
Summary : Experience in the financial services industry and currently holds series licenses. Knowledge spans from Chief Compliance Officer to owning and operating a full service.
Skills : Management, Health Information Management.
Description :
- Promoted from Regional Director of Student Services and Compliance Provide leadership in student services planning and student operational support systems.
- Managed student services policies and procedures. Built and maintained the firm's Rule 206(4)-7 COE.
- Coordinated and supervised student retention and placement.
- Developed, implemented, and monitored institutional effectiveness outcomes assessment program.
- Ensured compliance with DOE, BON, CIE, and ABHES requirements.
- Supervised campus Student Service Coordinators. Oversaw all aspects of the company's compliance and supervisory functions.
- Obligated in addition to directing and enhancing the firm's training program.
Experience
7-10 Years
Level
Management
Education
Management
Chief Compliance Officer/Co-ordinator Resume
Summary : Dynamic examiner able to coordinate and direct all phases of project-based solutions while managing and motivating project teams to achieve optimal results.
Skills : Audit, Operational Risk, Project Management.
Description :
- Acted as a liaison between business units and compliance attorneys. Reporting events that pose a threat to the Company.
- Communicated regulatory changes to operations staff and senior management.
- Tested and monitored due to diligence systems to ensure accuracy in determining findings.
- Protected assets from unauthorized access, disclosure, modification, destruction, and interference.
- Prepared and executed training for all applicable laws and regulations.
- Provided timely response to compliance issues for files undergoing due diligence review.
- Managed Compliance Process System Development and Quality Control Departmental Compliance Support.
Experience
7-10 Years
Level
Management
Education
Summer Program
Chief Compliance Officer/Analyst Resume
Summary : To be considered for the Staff Development position. Acquired through working three years with the Office of Inspector General, as the Director of Nursing for four and a half years in a long term care facility.
Skills : Microsoft Office, Excel.
Description :
- Responsible for the implementation of the Bank Secrecy Act and Anti-Money Laundering Compliance Program.
- Ensured application of Know Your Customer (KYC) procedures for new customers.
- Monitored and investigate customer transaction activity for the required internal and external reporting.
- Worked with the Compliance Committee to arrange required BSA/AML training for staff.
- Worked with outside consultants on risk assessing the company's products and services.
- Arranged and conducted the required BSA/AML training for staff.
- Monitored and coordinated compliance activities of others to remain abreast of the status of all compliance activities and to identify trends.
Experience
7-10 Years
Level
Management
Education
Business Administration
Chief Compliance Officer III Resume
Summary : Highly qualified Chief Compliance Officer with experience in the industry. Enjoy creative problem solving and getting exposure on multiple projects, and would excel in the collaborative environment.
Skills : Leadership Derivatives, Options Training and Development.
Description :
- Implemented the firm's policies and procedures for both the RIA and the affiliated broker-dealer.
- Ensured compliance with such via testing and internal audits.
- Developed the curriculum for the firm's continuing education program.
- Prepared and submitted all regulatory filings and respond to all regulatory inquiries.
- Supervised compliance staff and all branch offices of the firm.
- Registered all new employees and new branch offices with FINRA via the Web CRD and IARD system and amend U4's as necessary.
- Reviewed as approved principle all advertising, sales literature and sales correspondence.
Experience
10+ Years
Level
Senior
Education
Political Science
Chief Compliance Officer III Resume
Summary : To secure a position in the organization that offers challenge and opportunity for career development. At the same time serves the organization to the best of capabilities.
Skills : Registered Para planner, Research, Compliance reviews.
Description :
- Supervised all staff and ensure they are in compliance with the NC Approving Agency, NC Barber & Cosmetic Arts Board, NACCAS Accreditation.
- Created a database system for safe record-keeping and database entry.
- Developed new partnerships & educational platforms for the institute.
- Ensured website development & site optimization is effective.
- Responsible for budget planning, yearly objective identification.
- Oversaw Accounts Payable, Accounts Receivable, Payroll allocations, Corporate Billing/Allocation, and General Accounting.
- Extensive knowledge of broker dealer and investment adviser compliance and regulations.
Experience
10+ Years
Level
Senior
Education
Business Administration
Asst. Chief Compliance Officer Resume
Objective : Office Management professional with operations and compliance experience in the financial industry. Accomplished individual highly skilled in implementing processes that reduce error.
Skills : Technical Skills, Management.
Description :
- Provided leadership to identify, evaluate, mitigate and report on all firm compliance based on SEC regulatory requirements.
- Cultivated an environment of continual improvement and performance.
- Created and updated compliance policies and procedures for operation and financial standards for direct SEC compliance.
- Worked with outside accounting firm supporting GIPS compliance.
- Supplied records, documented information and performance history.
- Supported the verification process for accurate marketing.
- Identified and resolved cases with discrepancies and compliance issues.
Experience
2-5 Years
Level
Junior
Education
Associate In Arts
Associate Chief Compliance Officer Resume
Objective : Organization is imperative when executing work in a timely and efficient manner. Organizational skills include but are not limited to staying on task with a project, keeping a written record of all procedures.
Skills : Technical Skills, Good Work Efficiency.
Description :
- Handled and processed confidential client information. Directly supported the CEO in managing an operation workflow.
- Developed more efficient filing systems and customer database protocols.
- Increased meeting efficiency by developing meeting agendas.
- Improved communication efficiency as the primary liaison between departments, clients, and vendors.
- Standardized department filing system to increase efficiency.
- Provided support for the CEO and sales team in managing operation workflow.
- Scheduled and confirmed appointments for the entire management team.
Experience
2-5 Years
Level
Junior
Education
Psychology
Lead Chief Compliance Officer Resume
Headline : Experience with investment firms offering private and public investment products. Extensive experience with the Investment Advisers with respect to SEC, state, CFTC and NFA requirements.
Skills : Problem Solving Skills, MS-Excel.
Description :
- Ensured acquiescence with compliance standards and regulatory requirements.
- Identified compliance risks from Prop Trading and manage them by providing training, advice, testing, and monitoring.
- Carried out compliance planning for proprietary trading.
- Presented the firm in communication and interaction with regulatory bodies.
- Supervised all operations for firms relating to WSP's.
- Processed meets the requirements of regulatory.
- Carried out as hoc projects and prepared period reports to management.
Experience
5-7 Years
Level
Executive
Education
Finance
Chief Compliance Officer Resume
Headline : Accomplished compliance, finance and audit professional with extensive experience developing and implementing compliance and internal audit programs for academic medical centers.
Skills : Technical Skills, MS-Office.
Description :
- Monitored principal trading account activity in the U.S.
- Treasury securities, collateralized mortgage obligations, and corporate debt instruments.
- Reviewed client account activity to ensure adherence to federal laws and self-regulatory organization rules.
- Worked with Trading Desk in determining internal mark-up policy.
- Oversaw state registration requirements for the firm's licensed individuals.
- Conducted registered representative compliance meetings.
- Prepared Form BD amendments and reviewed advertising/sales literature.
Experience
5-7 Years
Level
Consultant
Education
J.D.
