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Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000


Accounting & Compliance Management Professional



Offer progressive years of experience in accounting and compliance, with consistent results in achieving fiscal and organizational objectives in the securities industry. Adept in project management and marketing. Talent for defining and resolving issues to avoid unnecessary cost expenditures. Proficiently juggle several projects simultaneously while working under pressure in fast-paced environments. Effectively establish and manage key relationships with decision makers and strategic partners.


Series 7, 24, & 66 Project Management Team Leadership Marketing

Financial Analysis Multitasking & Prioritization Communications Compliance

Negotiations Research & Planning Resource Allocation/Administration

Career Background


The Principal Financial Group, Des Moines, IA                                                                1992-Present  

Sr. Broker/Dealer Compliance Analyst C Product & Distribution Compliance (2004-Present)

  Contribute dynamic leadership skills and industry expertise toward managing compliance efforts and ensuring strict adherence to all internal policies and procedures, as well as federal, state, and local laws and regulations.

  Build top-performing 4-member team vital to supporting enterprise-wide operations by strategically recruiting and effectively interviewing, screening and testing candidates.

  Maximize human resource performance by conducting annual evaluations, clearly defining skill gaps, providing expert recommendations on strategic training/professional development solutions, and identifying and promoting talent.

  Apply dynamic strategic planning, prioritization and project management skills toward consistently achieving critical deadlines while maintaining high quality standards in completing projects from inception through completion.

  Successfully complete multiple simultaneous small and large projects with business partners to ensure proper procedures are in place to adequately meet new regulations and requirements.

  Cost-effectively allocate, administer and complete quarterly budget forecast for the department.

  Play a key role in supporting further development of the broker dealer and Registered Investment Adviser, including expanding third party distribution, product development, technology, future product offerings and future business needs.

  Collaborate closely with marketing department in developing new products for the Registered Investment Adviser (RIA).

  Handle all aspects of compliance throughout product development, working directly with marketing.

  Review marketing materials to ensure strict adherence to compliance requirements.

  On an on-going basis, work with marketing materials as they come up for review and as new materials are created for wholesalers, registered representatives, and home office reps.




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Career Background continued




The Principal Financial Group, Des Moines, IA                                                                1992-Present  


Financial Accounting Leader C Princor Mutual Fund Accounting (2000-2004)

  Exhibited solid leadership qualities in directing an 8-member team, with full accountability for mutual fund investments and daily activity.

  Trained, mentored and motivated a knowledgeable and productive staff, playing an instrumental role in the development of top performing team members.

  Diplomatically resolved conflicts, further illustrating advanced communication and interpersonal relation talents.

  Proficiently developed detailed financial reports, providing dynamic forecasting, trending and result analysis tools vital to company's short- and long-term strategic business planning.

  Strategically prioritized, planned, coordinated, and drove multiple projects to ensure on-time, budget-compliant completion while maintaining high quality standards.

  Collaboratively built and established key relationships and liaised and consulted with custodian banks, sub-advisors, portfolio managers, and external auditors.

Investment Accounting Team Leader C Principal Global Investors (1998-2000)

  Successfully trained, developed, and evaluated a high-performance 6-member support team vital to attaining company objectives.

  Demonstrated strong communication and leadership skills in effectively steering meetings to coordinate projects/workflow and define expectations for management, internal and external customers.

  Efficiently planned and coordinated workflow, defined staffing requirements and assigned projects to optimize utilization of human capital and operational resources.

  Prioritized, planned and coordinated multiple simultaneous projects to maximize efficiency and achieve critical timelines.

  Conducted comprehensive review and analysis of financial statements to ensure completion, validity, reasonability and timeliness.

  Maintained up-to-date on current industry trends and changes in laws and regulations; continuously review and update accounting procedures to ensure accuracy while optimizing productivity, efficiency and performance.

Investment Accounting Accountant (1992-1998)

  Exhibited solid knowledge of accounting principles and procedures in handling all aspects of daily, monthly and quarterly accounting processes for domestic and international accounts.

  Interfaced extensively with custodian banks, traders, and portfolio managers to resolve issues, demonstrating strong communication and problem solving abilities in achieving goals and timelines.

Education & Registrations


B.A., Business Administration C Management/Emphasis Marketing - Simpson College, Indianola, IA; Graduated cum laude

Associates Degree C Accounting and Business Administration - American Institute of Business, Des Moines, IA

FINRA Series 7, Series 24, Series 66




Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000







Contact Name, Title

Company Name


City/State/Zip Code




I am currently exploring new career opportunities and to acquaint you with my qualifications, I am submitting my resume for review.  In advance, thank you for your time and consideration.


As demonstrated in the accompanying resume, I offer a broad background in accounting and compliance, with comprehensive experience in team leadership, project management, marketing, and spearheading operations to generate solid results.  From leading high performance teams and facilitating superior staff development to streamlining operations and executing proactive organizational processes/procedures, I have continually excelled in maximizing performance as a dynamic leader.  I excel in identifying and resolving inefficiencies, introducing solutions instrumental to boosting performance and strategically utilizing financial and human resources to generate optimal results.  To complement my experience, I completed FINRA Series 7, Series 24, and Series 66.


I am now eager to contribute my strategic planning skills and dynamic leadership, relationship building and financial management abilities toward collaborating in your success as a key member of your team.  I am confident that I could be a valuable asset to your firm in achieving both immediate and long-term goals, and look forward to meeting with you in the near future to discuss my qualifications and how they support your corporate vision.






Yyyyyy x. yyyyyy


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