yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000
abc@xyz.com

 

Senior Regulatory Compliance Specialist

yyyyyy x. yyyyyy

 

Offering progressive professional and academic experience in regulatory affairs and compliance, with comprehensive legal and financial background.  Specialty in Equities, Capital Markets, Fixed Income, Asset Management and Structured Products.  Extensive financial product knowledge, including mutual funds, derivatives, UIT s, bonds, and stocks, as well as OATS, OTS, KYC/AML, Suitability and Market Trading Rules.  Consistent results in achieving compliance objectives.  Talent for defining and resolving issues to avoid unnecessary cost expenditures.  Effectively establish and manage key relationships with decision makers and strategic partners.  Areas of expertise:

 

Project Management Broker/Dealer and Banking Regulatory Enforcement

Financial Research/Analysis Legal Processes/Administration Risk Management

Trade Review and Best Practices Regulatory Reporting Supervisory Controls Testing

Recent Achievements

 

  Innovatively designed, developed and implemented full set of policies/procedures and testing program for large international investment bank, as well as a Regulatory Rule Guidance document, instrumental to ensuring compliance.

  Published in industry-wide Regulatory Securities newsletter on multiple occasions.

  Steered all aspects of the SIPC Bankruptcy liquidation for large investment banking institution, ranging from reconciliation, claim validation and process flow documentation to prime brokerage/fixed income client redemption, issue follow-up/resolution and identification of misappropriated funds.

  Successfully restructured Client s Customer Complaint System as required by FINRA; conducted comprehensive review and analysis to provide all required and relevant complaints along with summary explanations and Quality Control.

  Created and executed a Regulatory Training program involving Books and Records Rules 17a-3 and 17a-4 and Corporate Regulatory Compliance to effectively educate participants on broker/dealer regulatory insights and current industry trends.

yyyyyy x. yyyyyy

 

Deloitte & Touche, LLP, Regulatory & Capital Markets Consulting, New York, NY             2007-Present

Senior Regulatory Securities Consultant

  Apply comprehensive knowledge of AML/KYC, BSA, Investment Advisors Act of 1940, Investment Company Act of 1940, and Securities Exchange Act of 1934 to ensure compliance with federal laws and regulations.

  Exhibit advanced communication and interpersonal relation skills toward building key relationships and liaising effectively with Trading Floor, Operations Department and Legal/Compliance Department.

  Contribute sharp business acumen and critical thinking skills toward analyzing operational practices, systems and controls, interviewing Directors and Staff to determine ability to meet requirements, and identifying and recommending improvements to ensure compliance.

  Demonstrate prioritizing and multitasking skills in efficiently planning and coordinating all regulatory reporting activities, including Rule 15c3-3 database creation/testing and SHCA/SHLA Broker Dealer Annual Reports.

  Design a training platform for Employee Training/Continuing Education for clients to use internally.

 

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Beverly L. Reedman                                                                                          Page 2 of 2

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Career Background continued

 

 

New York Stock Exchange, Regulatory Group, New York, NY                                         2005-2007

Senior Compliance Analyst

  Resourcefully contributed legal expertise toward performing regulatory legal analysis and compliance review for firms listed on the NYSE.

  Performed extensive evaluation of customer files and account statements to determine violative conduct and ensure compliance with NYSE and federal rules and regulations.

  Appointed Project Leader for documentation analysis, creation and organization, due to exceptional performance and dedication.

  Illustrated detail orientation and critical thinking skills in preparing suitability analysis, profit and loss analysis, cost to equity, and turnover analysis.

  Proficiently applied strong communication and negotiation abilities toward serving as primary liaison between Member firms, Trading floor personnel and Financial Advisors during regulatory actions and disciplinary proceedings.

  Actively supported 100+ attorneys with depositions and hearings including pre-trial exhibit selection and preparation, deposition outline preparation, opening/closing arguments, and cross-examinations.

 

Wachovia Securities, LLC, Legal Department, New York, NY                                           2003-2004

Regulatory Paralegal

  Thoroughly analyzed and maintained compliance inquiries and investigated violations of firm rules, demonstrating solid knowledge of NYSE, NASD or SEC guidelines and regulations.

  Collaborated closely with attorneys and assisted in trial preparation for compliance violation cases.

  Further exhibiting solid technological skills, utilized legal software for production and trial preparation and Excel and internal computer software to analyze account statements and prepare charts.

 

Nissenbaum Law Group, LLC, Union, NJ                                                                         2001-2002

Law Clerk/Paralegal

  Reporting directly to attorney, proficiently drafted various legal documents, including complaints, answers, interrogatories, document demands, agreements and research memoranda.

  Acquired valuable knowledge and experience in legal processes/procedures, review and analysis.

  Proactively attended and participated in client meetings and depositions and aided in commercial litigation trial preparation.

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Seton Hall University, Stillman School of Business, South Orange, NJ

M.B.A., Management/Finance

B.A., Political Science/Criminal Justice

Women in Government Grant Recipient - Semester with the Women in Public Policy Program at

The Washington Center in Washington, D.C.

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Microsoft Word; WordPerfect; Excel; PowerPoint; Visio; Access; Westlaw; Lexis/Nexis; Bloomberg; CRD

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Vice-President - Student Activities Board

Co-Captain & Secretary - Women s Rugby Team

Extensive volunteer efforts with various organizations monthly/annually

 

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0000 xxxxxx xxxx , xxxx , xxxxx 00000
abc@xyz.com

 

 

 

Date

 

 

 

Hiring Agent Name

Company

Address

City/State/Zip

 

Dear _______________________________:

 

I am currently exploring new opportunities, and am interested in joining your team.  To acquaint you with my qualifications, I am submitting my resume for your review.  In advance, thank you for your time and consideration.

 

As illustrated by the accompanying resume, I have a comprehensive background in regulatory affairs and compliance.  I excel in identifying and resolving compliance issues, introducing solutions and strategically utilizing resources to generate optimal results.  Among my recent accomplishments, I:

 

  Innovatively designed, developed and implemented a full set of policies/procedures and testing program for a large international investment bank, as well as a Regulatory Rule Guidance document, instrumental to ensuring compliance.

  Steered all aspects of the SIPC Bankruptcy liquidation for a large investment banking institution, ranging from reconciliation, claim validation and process flow documentation to prime brokerage/fixed income client redemption, issue follow-up/resolution and identification of misappropriated funds.

  Successfully restructured Client s Customer Complaint System as required by FINRA; conducted comprehensive review and analysis to provide all required and relevant complaints along with summary explanations and Quality Control.

 

As a member of your team, I will consistently exhibit a strong commitment to quality and a 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,

 

 

 

Beverly L. Reedman