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Summary Consistent track record developing best practices and internal controls to reduce organizational risk and avoid internal/legal conflicts. Focus on administrative integrity by monitoring updating employee's understanding knowledge of new existing regulatory and industry policies and procedures legislative bodies to include Bank Secrecy Act Expertise Reporting and Executive Management Committee Structures Anti Money L...
As a Principal Examiner with FINRA for nearly 11 years, I have developed my knowledge and skills in an ever changing financial world that could be an asset for your firm. My major responsibilities include leading a field examination team conducting regulatory examinations of FINRA member firms and monitoring the stability, accountability, and supervisory structure of FINRA member firms to ensure compliance with NASD, MSRB,...
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As a Certified Fraud Examiner (CFE) and Certified Paralegal, my employment history has provided me with extensive experience in audit, risk, litigation, asset management, liability and insurance claims, loss prevention and investigations in loan origination and loan servicing within the mortgage industry. My objective is to continue to provide my strong attention to detailed,strong management skills, and to detect and preve...
Summary of Qualifications I am a Compliance Analyst who investigates options & equities trades to identify trading anomalies, investigate potential violations, and ensure trading integrity. An expert on financial industry regulations, I analyze trading data, conduct UAT on surveillance systems, and implement compliance procedures. Regulatory Competencies SEC FINRA Trade Reporting Rules cross-border requirements Volcker Regu...