Compliance Examiner Resume

Mark Johnson

92 Berry Street

Colorado Springs, CO 80915



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.


Bachelor’s Degree in Business Administration, Missouri Valley College, Marshall, MO

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  • March 1, 2020Create Date
  • March 1, 2020Last Updated

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