Yyyyyy x. yyyyyy

5410 Connecticut Avenue, NW #0000 xxxxxx xxxx , xxxx , xxxxx 00000-2825

Cell/Main Phone: (xxx-xxx-xxxx       

E-mail: Abc@xyz.com

 

Job Announcement Number:          A-2010-0073

Job Title:                                            Management and Program Analyst

Department:                                      Department Of State

Agency:                                              Department Of State

 

Core Competencies

 

Federal Government Programs, Program Management, Program Analysis, Project

Evaluation, Project Management, Regulatory Compliance, Auditing, Research & Analysis,

Investigation, Financial Industry, Policy and Procedure Development, Policy and

Procedure Interpretation/Application, Multi-Agency/Department Collaboration, Team

Building and Leadership, Contractor Management, Client Relations, Customer Service,

Interpersonal Relations, Communications, Presentations, Briefings, Reporting,

Documentation, Technical Guidance, Conflict Management, Crisis Resolution, Problem

Solving, Strategic Planning

 

Professional Experience

 
October 1998 - Present

Financial Industry Regulatory Authority (FINRA)
0000 xxxxxx xxxx , xxxx , xxxxx 00000
Salary: $126K/annual with bonus and incentive

Hours per Week: 60

Supervisor: Donald Lopezi; Phone xxx-xxx-xxxx : Permission to Contact: NO-Confidential

Lead Senior Research Regulatory Specialist & Project Coordinator-Member Regulation Department; September 2000-current

 

Promoted to strategically steer development and execution of complex audit review procedures and processes vital to quality and regulatory compliance supporting brokerage examination program.  Directly responsible for coordinating/overseeing Technology and Analyst contractors.

 

Actively collaborate with cross-functional internal staff and departments as well as external government agencies to optimize performance; frequently interface with FINRA District personnel, Department colleagues and FINRA member financial firms as well as Federal Government staff representing agencies including Securities Exchange Commission (SEC), Government Accountability Office (GAO) and Office of Management and Budget (OMB), among others. Proficiently draft and participate in FINRA National Examination Program (NEP) submissions to SEC.

 

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Prepare and facilitate FINRA Regulatory Notices special projects, from conducting thorough research and coordinating/managing teams to overseeing full-scope process spanning  financial markets regulatory sweeps, membership surveys and regulatory responses to GAO, SEC and FINRA Internal Audit requests.  Spearhead financial regulatory systems development and implementation, actively coordinating with EDS contracting teams for FINRA NEP systems business needs.  Perform comprehensive research and review of Federal Register and pending regulations, with focus on defining impact to FINRA NEP, and expertly draft corresponding examination procedures as quality tools for auditors use during on-site brokerage examinations.

 

Examiner-Enforcement Department; October 1998-September 2000

 

Effectively investigated firms in legacy National Association Of Securities Dealers (NASD) Enforcement action examinations as well as conducted special investigations and off-site trading activity audits; worked extensively with investors.  Researched and drafted detailed case memoranda and provided on-the-record expert testimony.  Conducted complex statistical analysis of trading activity patterns and drove targeted searches for potential abuses.

July 1997 - October 1998
Luse Gorman P.C.

5335 Wisconsin Ave, NW, Washington, DC
Salary: $40.5K/annual with bonus

Hours per Week: 45
Supervisor: Ned Quint, Partner; Phone: 202-274-2004; Permission to Contact: Yes

Banking, Securities and Corporate Legal Assistant

Efficiently coordinated regulatory compliance initiatives with client banks, SEC, NASD and Office of Thrift Supervision (OTS) representatives.  Actively directed application processes for initial public offerings, listings of additional shares and fairness filings pertaining to bank holding companies.

November 1993 - July 1997
Kirkland & Ellis LLP

655 15th Street, NW, Washington, DC
Salary: $75K (includes annualized overtime, double time, travel, and retention bonuses)
Hours per Week: 80
Supervisor: Timothy Stephenson, Partner; Phone: 202-879-5000: Permission to Contact: Yes

Legal Assistant for the Securities and AntiTrust Practice Groups; May 1994-July 1997

Temporary Project Assistant through Telesec Temp Staffing; November 1993-May 1994

 

In recognition of dynamic performance as contracted temporary employee, hired within 6 months for full-time permanent position.  Assumed critical responsibility for productively liaising between clients and attorneys on securities and banking regulations and filings; required ongoing communications with Office of the Comptroller of the Currency (OCC) and SEC Examiners and associate staff.  Boosted administrative efficiencies by resourcefully designing multiple databases to more effectively manage high volume of antitrust litigation materials and securities filings records.

 

 

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Education

 

John Hopkins University

Degree: MBA

Concentrations: International Business/Cross-Cultural Management & Corporate Finance

Earned: 2001

GPA: 3.8

Honors: Graduated with Honors

Key Coursework: Cross-Cultural Understanding in the Workplace, Conflict Management, Crisis Resolution

 

University of Southern California

Degree: Bachelor of Arts

Major: Romance Languages

Earned: 1993

GPA: 3.5

 

St. Andrews Episcopal School-Potomac, MD

Diploma: High School

Earned: 1986

GPA: 3.5

Honors: Graduated with Honors

 

Achievements/Awards

 

FINRA Outstanding Achievement Award (fka President s Award) for commitment and contributions to Hurricanes Katrina and Rita continuity of operations; 2007

 

NASD President s Award for superior performance in responding to SEC comprehensive rule review request; 2004

 

NASD Floor Warden of the Year Award and Above and Beyond Award for contributions in developing protocols for company-wide incorporation into NASD Floor Warden Program and Corporate Security Department procedures; 2004

 

NASD President s Award for dynamic results in rollout of new National Examination Program systems; 2002

 

Languages

 

Multilingual: Fluency in French language, competency in Spanish language, Portuguese language studies in progress

 

Additional Information

 

Extensive exposure to international community; long-time resident of Washington, DC, temporarily lived abroad in Paris and well-traveled throughout Europe and South America

 

Director, Condominium Association

 

Co-Founder of Limited Liability Corporation