Performance-driven Financial Services Professional specializing in regulatory compliance

eager to contribute to the success of a progressive organization.

 

 

         Significant experience in the financial services industry with expertise in project leadership relating to compliance, business continuity, reporting, risk management, and anti-money laundering.

         Excel in development and enhancement of compliance policies and procedures for broker-dealers.

         Unique blend of strong technical knowledge and extensive financial acumen; advanced understanding of infrastructure needs for both buy and sell-side market participants. 

         Proven success in orchestrating efforts which expand revenues, reduce/control expenses, and ensure conformance to current industry regulations and best practices.

         Continually optimize firm operations through development and use of cutting-edge technology.

         Reputation for integrity, sound business judgment, and well-developed prioritization skills.

         Dependable and ethical; skillfully anticipate and respond accordingly to changing business priorities.

         Ability to establish effective working relationships with all levels of an organization.

         Systematic problem solver with a solid track record of executing innovative solutions to meet defined business goals and needs.    

         Computer/software skills include Microsoft Access, Visual Basic, Crystal Reports and SQL Server.

 

 

State Street Corporation,  Boston, MA, 2006 to 2009

Vice President C Corporate Compliance Technology Liaison

         Spearheaded development and execution of technology strategy for Corporate Compliance division and served as Information Security Officer and Business Continuity Manager for division.

         Pioneered division s first Governance, Risk and Compliance (GRC) solution, AXENTIS, a centralized repository of policies and procedures, risk self-assessments, policy attestations, training records, and issues tracking and remediation files. 

         Directed GRC project team in defining system requirements, developed Request For Proposal, analyzed responses, and delivered final recommendation to senior management.

         As AXENTIS project manager, extensively performed design and analysis during implementation phase, designed PeopleSoft HR specification, monitored critical privacy concerns, and built support model.

         Leveraged Microsoft Access and Crystal Reports to create and launch electronic reporting platform to be used by Compliance Officers on a global scale.  

         Devised innovative reporting dashboard for trend analysis by Chief Compliance Officer.

         Built centralized issues tracking methodology and reporting system to uncover and expeditiously notify senior management of material compliance breaches.

 

Boston Institutional Services / The BISYS Group,  Boston, MA, 1994 to 2005

Senior Vice President C Chief Compliance Officer        (2002 to 2005)

• Applied dynamic multi-tasking talents toward supervising electronic communications (SEC 17a-4), best execution analysis, soft-dollar practices such as SEC 28, prime-broker relationships, advertising review, employee trading and NYSE floor personnel.

 

Continued

 

 

 

Professional Experience continued

 

• Diligently drove firm s compliance with NYSE, NASD and SEC rules and regulations.

         As designated anti-money laundering agent, maintained collaborative and cohesive relationships with representatives of OFAC (Office of Foreign Assets Control) and FinCEN (Financial Crimes Enforcement Network).

         Demonstrated exemplary leadership skills in simultaneously managing operations of two Offices of Supervisory Jurisdictions as well as one branch office.

         Exercised sharp attention to detail in managing and completing successful annual regulatory audits with NYSE and NASD.   

         Conducted firm-wide continuing education activities, compiled and distributed training materials, and held annual compliance meetings.

         Played a lead role in completing sale of broker-dealer to Bank of New York Securities.

         Administered all firm and registered representative filings on Web/CRD including BD modifications and U4 and U5 filings.

         Employed strong communication skills to negotiate contracts for establishing a correspondent trading network.

 

Vice President C Director of Information Systems        (1994 to 2002)

• Oversaw Information Systems pertaining to brokerage functions such as clearing agent back-office, electronic trading, quote services, and post-trade back-office products.  
• Relied on substantial technical acumen to design, manage and support robust technology infrastructure for institutional broker-dealer, devise company s in-depth technology strategy, and direct disaster recovery/business continuity procedures.
• Championed design and implementation of proprietary Client Information System which tracks all client activity, commissions, credits, etc. and generates client statements.
• Resourcefully designed and deployed investment systems to enhance portfolio management, fund accounting, institutional trading, and regulatory compliance. 
• Exhibited outstanding project management talents in steering development of an equity modeling system, pooled fund accounting system, soft dollar accounting system and AIMR composite performance reporting system.  
• Project-managed initiative that provided secure client statements and online access to CONTRAK monitoring system.
• Seamlessly relocated corporate offices on two occasions with minimum impact to clients, employees and revenues.
• Participated in transition efforts to integrate company into BISYS after 2001 acquisition.

 

Prior Background:

 

VP C Manager of Investment Systems, PanAgora Asset Management, Boston, MA

Senior Programmer Analyst, Interactive Data Corporation, Lexington, MA

 

 

MBA, Concentration in Finance, Bentley College, Waltham, MA

Bachelor of Science in Computer Science, University of Lowell, Lowell, MA

 

 

Series 7 and  24

 

 

 

 

 

 

 

 

Date

 

 

 

Hiring Agent Name

Company

Address

City/State/Zip

 

Dear ______________:

 

Are you seeking a results-focused, solutions-oriented management executive to support your company in maximizing performance?  I am currently exploring new opportunities, and am interested in joining your team.  To acquaint you with my qualifications, I m submitting my resume for your review.  In advance, thank you for your time and consideration.

 

In addition to excellent academic credentials, I bring to you a solid background in risk-driven compliance, exemplary expertise in developing and implementing policies, procedures and technology solutions to fortify internal controls, and substantial skills with information systems. To complement these qualifications, I offer polished organizational, analytical, planning, technical, and prioritization skills.

 

As a member of your leadership team, I will consistently exhibit dedication to playing a large role in achieving and surpassing goals.  I am eager to meet with you to discuss how my qualifications support your current and prospective needs, and welcome the opportunity to interview at your earliest convenience.

  

Professional regards,

 

 

 

Yyyyyy x. yyyyyy