Compliance Examiner Resume
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92 Berry Street
Colorado Springs, CO 80915
(123)-597-8852
m.johnson@emailaddress.com
Job Objective: Accomplished Compliance Examiner seeking full-time work with growing firm in which to use my skills and experience to aid in the growth of company.
Highlights of Qualifications:
Vast experience in a regulatory, compliance Possess experience in the securities industry
Profound knowledge of Equities Securities products, trading rules, regulations and Equities Settlement
Extensive knowledge of FINRA and SEC rules
In-depth knowledge of net capital, reserve formula calculation and review and margin requirements
Proficient with PC, Word, Excel and Access
Excellent organization and follow-up skills
Excellent verbal and written communication skills
Professional Experience:
Compliance Examiner, August 2005 - Present
Finra, Colorado Springs, CO
Performed evaluation of compliance programs and business structure.
Reviewed sales and marketing practices.
Analyzed financial and operational conditions.
Developed reports based on examination findings.
Interacted with investors while investigating complaints.
Communicated with all levels of member firm employees.
Compliance Examiner, May 2000 – July 2005
Waddell & Reed, Colorado Springs, CO
Scheduled, planned and did pre-audit preparation for branch office audits.
Interviewed financial advisors, managers and administrative assistants regarding office procedures and advisor activities.
Developed report findings of office visits and took follow-up action as necessary.
Responded to routine inquiries from RVPs and managers concerning adherence issues.
Completed expense reports and other paperwork in a timely, accurate way as requested.
Education:
Bachelor’s Degree in Business Administration, Missouri Valley College, Marshall, MO
