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Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000

Cell: (xxx-xxx-xxxx


Accomplished Financial Services Expert specializing in compliance eager to contribute extensive background toward supporting operations of a dynamic organization.


Qualifications Profile


  • 16+ years of experience in financial services industry with a substantial background in driving compliance, internal controls, risk management, branch office sales practices, and operations.

·         Adept at conducting surveillance of firm client accounts, and issuing disciplinary action for violations of firm and regulatory rules/policies.

·         Extensive abilities in advising, writing and interpreting complex policies and procedures related to regulatory compliance.

·         Excel in training, developing and leading high-performance branch office and compliance personnel; enhance results by coordinating and steering annual compliance meetings.

·         Strong blend of analytical, planning, organizational, interpersonal, and decision-making skills.

·         Proven success in guiding efforts which control expenses and risk, and ensure conformance to current industry regulations and best practices.

·         Highly ethical with the ability to establish effective working relationships with all levels of an organization.

·         Advanced knowledge of NYSE, FINRA and SEC rules/regulations.


Professional Experience


Morgan Stanley Smith Barney Inc., New York, NY, 2009 to Present

Head of Sales Practice and Product Surveillance

  • Apply dynamic leadership talents toward managing and motivating staff of 25 analysts and direct Integration Team in resolving surveillance issues for legacy Smith Barney and Morgan Stanley channels.
  • Created and administer cross-training program for legacy Smith Barney analysts to prepare them for transition to regional surveillance model.


Citigroup Global Markets Inc. / Smith Barney, New York, NY, 2005 to 2009

Divisional Compliance Director, Eastern Division

·         Directed, motivated and supervised team three Divisional Compliance Managers and six Sales Practice Analysts in reviewing active accounts, preparing FA profiles, and analyzing retail and institutional account activity.

·         Facilitated monthly calls with respective regional management teams to discuss and appropriately respond to compliance-related matters and trends.

·         Provided referrals or guidance concerning compliance matters to firm’s Special Supervision Committee.

·         Thoroughly analyzed potential disciplinary matters and decisively drafted letters of reprimand for issuance by branch management when required.


Continued …




Yyyyyy x. yyyyyy ~ Page 2 of 2

Professional Experience continued …


·         Advised Smith Barney senior management, branch office supervisors and financial advisors on sales practices, operational processes and regulatory rules and regulations.

·         Authored and updated internal compliance policies and procedures as needed.

·         Reviewed and proficiently responded to regulatory examination reports and inquiries.

·         Trained and educated regional and branch office management in firm and/or regulatory compliance rules and policies.

·         Managed Plans of Solicitation (POS), Blue Sky, and Stock Option Plan units (SOPT) within Sales Practice Unit for first two years in role.


New York Stock Exchange, Member of Firm Regulation, New York, NY, 1999 to 2005

Principal Compliance Examiner, Sales Practice Review Unit   

·         Meticulously conducted comprehensive examinations of member firms’ supervisory standards and sales practice procedures to ensure compliance with NYSE and SEC criteria.

·         Scrutinized firms’ anti-money laundering program, investigated customer complaints, and presented findings to senior management of member firms.

·         Facilitated annual week-long Sales Practice Training Class to train new hires.

·         Integral player of 2002 examination and discovery of a registered representative in Ohio found to have misappropriated $100M+ by creating false statements and forging customer signatures on letters of authorization. 


National Association Of Securities Dealers, New York, NY, 1997 to 1999

Compliance Examiner, Cycle Unit  

  • Leveraged considerable knowledge of regulatory requirements to conduct examinations of member firms focusing on Trading/Market Making, Mutual Funds, Options, Equities, Corporate Debt, Private Placements, Underwritings, and Municipal Securities.
  • As Core Examiner for 20+ member firms, responded to extensive inquiries regarding rules, regulations and procedures of NASD.


Brown Brothers Harriman & Co., New York, NY, 1993 to 1997

Operations Department   

  • Successfully completed cross-training across the operations spectrum: Margin, Comparisons, Purchase and Sales, and Delivers and Receives, and Equity Trading, and played an active role in driving profitable and compliant operations.




B.S. Degree in Business, Management and Finance, Brooklyn College, Brooklyn, NY, 1996




Series 7   (General Securities Representative Status)


Series 14 (NYSE Compliance Official Status)   




Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000

Cell: (xxx-xxx-xxxx










Hiring Agent Name





Dear ______________:


Are you seeking a results-focused and incisive Compliance Specialist to support your company in optimizing 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 significant management experience, I bring to you a seasoned background in conducting in-depth compliance examinations, exemplary expertise in developing and implementing policies and procedures to fortify internal controls, and substantial skills in supervising financial advisors and branch office sales practices. To complement these qualifications, I offer polished critical thinking, reporting, financial, and prioritization skills which are paramount in a compliance capacity.


As a member of your leadership team, I will consistently display an unwavering dedication to playing a large role in achieving and surpassing your business 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.


Truly yours,




Yyyyyy x. yyyyyy

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