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RssCompliance Officer

To attain an executive-level position in the field of Compliance.

Compliance Officer

Caldwell, NJ

About Me

Industry:

Management & Business

Occupation:

Compliance Officer

Highlights:

FINRA Series 7, 24, 53, 63, 66; NJ Resident Life/Health & Accident/Variable; NY Non-Resident Life/ Health & Accident/Variable; CT Non-Resident Life/ Health & Accident/Variable; Medallion Signature Guarantee Certified

Ideal Companies:

Merrill Lynch, Goldman Sachs, Morgan Stanley,
 

Education level:

Master

Will Relocate:

No

Location:

Caldwell, NJ

Work Experiences

9/2002 - 7/2009

Northwestern Mutual Financial Network

Manager

  • • Developed and administered programs to assure day-to-day activities of supervised persons complied with all State and Federal applicable laws, regulations, and Northwestern Mutual policies, and to detect instances of possible non-compliance for 120 Financial Representatives housed within the Office of Supervisory Jurisdiction, 5 Registered Branch Offices, and 7 Private-Resident Locations. • Responsibilities included: reviewed and approved all investment accounts; monitored daily trade and email activity, filed monthly reports, conducted annual insurance and investment client file reviews focusing on suitability, share class issues, breakpoints, money laundering, switch activity, and sales to the elderly; maintained required SEC Books & Records reports, reviewed and documented approval or rejection of incoming and outgoing securities-related correspondence. • Coordinated with the Director of Compliance, training presentations regarding compliance, ethics, and sales practice issues. Training and educational meetings included hosting the Annual Field Compliance Meeting, as well as documenting Registered Representative attendance to ensure a firm understanding of current Northwestern Mutual and industry policies and procedures.

3/1999 - 11/2001

Summit Financial Resources

Individual Contributor

  • Coordinated all activities relating to the conversion of the new Portfolio 2001 database system; Maintained DBCams database system by auditing new accounts, mutual fund account exchanges, and account valuations.

8/1985 - 12/1998

Merrill Lynch

Individual Contributor

  • Served as liaison between the branch office and the systems support help desk to oversee and maintain the branch computer system; coordinated all branch activities relating to the rollout of a new computer system. Processed and monitored all exposure items due for liquidation in accordance with SEC & NYSE regulations and firm policies; reported overdue exposure items to management. Processed securities orders; acted as liaison between Financial Advisors and trading floor personnel to research and resolve trade discrepancies. Maintained trade correction error log for 50 Financial Advisors.

Education

2005

Master Degree

Montclair State University

  • Administration & Supervision w/conc Ed/Trainer

2000

Bachelor Degree

Caldwell College

  • Business Administration

Skills

Keywords