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yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000

xxx-xxx-xxxx or 973-769-6253


financial compliance executive

regulatory affairs ~ risk management ~ operational standards


performance-focused compliance specialist and financial strategist eager to contribute expertise in regulatory and operational standards as well as dynamic project management and leadership talents toward supporting operations of a progressive organization.


qualifications profile


ø  strong technical background with the ability to work independently on multiple research projects with specialized knowledge of strategic financial planning, compliance and regulatory analysis, business restructuring, financial instrument management, sarbanes oxley regulations, risk management.

ø  comprehensive understanding of the financial trading systems arena due to advanced education and training regarding: written supervisory procedures, compliance training programs, project management, testing of internal controls, negotiation of vendor contracts, finra/sec/branch audits, financial operations, 15c3-1 firm registrations, management of regulatory inquiries, and trade surveillance.

ø  effectively lead top-performing teams to produce both short term and long term financial strategies.

ø  excel in defining and implementing policies, procedures and operational systems that boost productivity, efficiency and quality of operations.

ø  competent leader and mentor who is able to create a team environment, including building collaborative relationships, training peers to perform at maximum efficiency, and the capacity to form cross-functional coalitions in order to ensure knowledge is shared across departmental lines.

ø  proven ability to adapt strong process knowledge and technical skills to diverse organization needs.

ø  technology savvy and proficient in multiple software systems, including ms office, quickbooks, web crd.


functional competencies


ø  demonstrate dynamic leadership qualities and strong communication skills in successfully steering financial planning meetings and delivering comprehensive strategies.

ø  manage finra and sec regulatory requests regarding specific firm s trading activities by providing
written communications to resolve inquiries in a timely manner.

ø  carefully analyze various documents and reports in order to identify and reconcile potentially costly errors.

ø  closely examine accounts to balance positions and funds between clients, firms and/or the bank.

ø  develop expert plans of action according to specific financial needs, both expeditiously and effectively.

ø  ensure critical internal and regulatory compliance as well as data integrity/quality control by proficiently analyzing financial trends in the market to identify relevant information and advise clients appropriately. 

ø  skilled at devising and implementing compliance programs as well as utilizing extensive knowledge of economic climate to benefit the organization.

ø  embrace company initiatives and lead process integration efforts throughout various departments.


select achievements


ø  developed training materials to be used firm-wide for regulatory mandated meeting thus reducing the firm s need to contract with vendors for outsourced solutions. additionally, analyzed department work flow, creating efficiencies for registration of new hires through screening process reducing the firm s annual registration costs. (trillium)

ø  created new, comprehensive reporting system in order to keep senior management apprised of key issues effecting the compliance department. (trillium)

ø  negotiated contract with vendor to reduce cost of firm element education by 25% over three year period. (trillium)

ø  developed soft dollar tracking system that recaptured 10% of annual cost due to correction in calculation of customer credits. (electronic)

ø  significantly reduced supply costs through the development of online documentation management system. (electronic)

ø  negotiated with vendor to reduce cost of general ledger software implementation by 10%. (elephant)

professional career track


osj branch manager / compliance officer, trillium trading / brokerage services             2005-present


  primary responsibilities include comprehensive management and re-engineering of compliance program for proprietary trading firm through the enhancement of internal controls, written supervisory procedures, code of conduct, aml, and various training programs, resulting in two (2) deficiency free finra examinations within the last four years.

  identified and interpreted finra, sec and other regulatory requirements to advise senior management regarding risk mitigation strategies to enhance regulatory compliance.

  developed internal testing procedures for ceo certification which led to promotion as osj branch manager.


managing director, electronic specialist, llc                                                                           2003-2005


  primary responsibilities included restructuring of company s financial controls and compliance procedures for technology solutions provider related to expense sharing agreements and the development of cost effective soft dollar tracking systems that ensured compliance to regulatory standards.

  collaborated with compliance department to handle regulatory audits, state registrations,
continuing membership application, and written supervisory procedures.

  re-engineered controls for financial operations including accounting, general ledger reporting, p&l and reviewed sales activity reports from clearing correspondents to identify erroneous reporting.

  substantially boosted cost controls and operational efficiencies by strategically creating detailed
management reports and presenting thorough technology cost analyses focused on automated
trading solutions.

senior compliance examiner, finra                                                                                         2002-2003


  primary responsibilities included development of relationships with assigned firms to provide education in regulatory standards through monthly reviews, outreach programs, and routine examinations.

  analyzed financial reports and other relevant data to ensure compliance with all regulations.

  prepared risk-based examination planning packages of assigned member firms.

  conducted examinations of firms and reported potential violations to senior management.

vice president / financial operations principal, elephant x dot com inc.                            2000-2002


  primary responsibilities included contribution of expertise toward optimizing financial operations by proficiently supervising accounting, settlement activity, and trading. additionally, provided detailed p&l and sales activity reports instrumental to supporting senior and executive staff in defining and executing targeted business strategies and effective action plans.

  managed monthly regulatory inquiries from finra /sec to prepare responses regarding the firm s operations.

  implemented regulatory reporting for two broker-dealers which included preparation of net capital15c3-1, and monthly and quarterly focus reporting.

  significantly improved efficiencies in accounting and operations due to cross training of staff.

earlier experience


- compliance / profit & loss analyst, gfi group, llc  


- compliance & accounting consultant, various accounts (citibank, painewebber, ubs, goldman sachs)        


academic training & additional information


n b.s. c business administration / accounting, rowan university

n securities licenses c series 7, 24, 27, 55, 63

n member c midtown regulatory compliance group


jack faller





name here of recipient

name here of company


dear recipeint name:

recent research into company name prompted me to immediately update my resume for your review.   based on my knowledge of this company, i am very interested in interviewing for state position you are seeking. i offer several years of academic and practical training in the financial compliance and regulations field.  i have also worked as a technical expert and advisor in numerous forms, so i understand this subject matter from many different levels.  most recently, i have been working as compliance officer for trillium trading, a brokerage services firm.   

 i am accustomed and skilled at managing complex situations in financial planning and possess the ability to offer unique and comprehensive advice aimed at minimizing risk for both corporate and individual clients.  i have a strong drive to work beyond the usual methods to meet my client s needs while maintaining quality and integrity at all times.

            i am an exceptionally hard worker and my peers consider me a strong team player.  my enthusiasm comes from utilizing my skill set to benefit the organization and streamlining and improving processes as evidenced by my accomplishments and contributions to my past employers.  i am also capable of assimilating into a new environment easily and feel that i could quickly become part of your team.  i enjoy the chance to work directly with various departmental resources in both learning and mentoring fashions. i am selectively seeking a company who is progressive thinking and in need of a professional who can make an immediate and positive impact on productivity and processes.

            after your review of my resume, i hope you will agree that this would be a mutually beneficial arrangement.  i plan to call you early next week. at that time, i can answer questions concerning my background and experience and we can discuss the desirability of an introductory meeting.  please contact me sooner if you wish to talk before then.  i look forward to speaking with you.


jack faller











jack faller



dear  name:


our meeting this morning was both enjoyable and informative. i want to thank you for taking the time to share with me your thoughts and ideas about the opportunity of joining your organization.

based on our discussion, i am confident that i can make a strong contribution to the company. it seems that you are looking for someone with proven strengths in the development, launch, and management of multiple financial growth aspects of an organization, coupled with solid communication skills, and the ability to develop and execute successful compliance and risk assessment initiatives within your company.

i feel that my experience demonstrates a strong track record in these areas. as you may recall, i am a polished, results-driven and versatile compliance and regulations executive leveraging proven strengths to drive profits while identifying potentially costly errors and liability. i am also astute in quality assurance, development of training and growth plans, and strategic growth initiatives. 


my key proficiency and career path has been very versatile and my primary work has included problem analysis and resolution, work efficiency, cost savings and containment, relationship building, and departmental collaboration.


i would welcome the opportunity to do the same for your company. i am very interested and enthusiastic about the possibility of meeting you again. i look forward to hearing from you on date to discuss our next steps.  if i do not hear from you on this date, i will contact you to follow up.


jack faller








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