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Anna Brooks
309 W. 15th Place, Unit 313
Chicago, IL 60001
Home: 312-850-9876
Cell: 312-719-1230
Email: anna@yahoo.com
Compliance
Analyst & Registration Specialist with 11 years of work experience with a
Broker Dealer and FCM in the financial services industry, which includes an
understanding of Compliance and Legal Department functions. Registration
Specialist experience at Broker Dealer includes an understanding of the NFA and
FINRA online registration systems. Additional 6 years of work experience includes
an understanding of Sales Administrator related functions and positions.
PROFESSIONAL
EXPERIENCE
MetLife
Securities Inc., Broker Dealer (Integrated Financial Concepts)
Financial
Services Representative (Appointed Trainee Program)
Dec. 2010 – May
2011, Orland Park, IL
· Training included the tracking and
awareness of Anti-Money Laundering (AML) “Red Flags” in the insurance and
financial services industry. In addition, trained and prepared for the
Series 6 and Series 63 exams as required to become a Financial Services
Representative. Licensed by the State of Illinois for Life &
Health, December 2010.
MF Global Inc.
(Broker Dealer & FCM)
Compliance
Analyst &
Registration Specialist
February 1999 -
May 2010, Chicago, IL
·
Provided 11
years of Compliance Analyst support to the Chief Compliance Officer, Compliance
Department, and various Branch Managers as required.
·
Handled
inquiries and correspondence from Exchange members, the CFTC, the SEC and the
public pertaining to Exchange Rules. Conducted investigative interviews of
subjects and witnesses related to open investigations. As an Analyst, I worked
in conjunction with the Chief Compliance Officer and designated AML Officer
regarding the filing of suspicious activity reports (SARs).
·
Investigated
and processed various (SRO) regulatory exchange requests, which included
investigating details of the request and responding to the regulators regarding
AML issues found on customer statements, customer accounts, trading activity
review, and a review to determine potential rule violations.
·
Conducted
employee outside personal trading account surveillance and monitoring of
employee trading surveillance review for RRs and APs. Monitored customer
accounts and trading surveillance. Assisted in
identifying potential rule violations and examples of suspicious activities for
AML review.
·
Reviewed
customer accounts by identifying problematic issues related to Anti-Money
Laundering (AML), Know Your Customer (KYC) and firm Customer Identification
Programs (CIPs).
·
Conducted
internal reviews and audits of firm wide personnel and files to ensure
compliance with exchange rules and regulations and member firm requirements.
·
Processed firm
Broker Dealer filings and filed customer complaints on FINRA’s WEB CRD.
·
Processed firm
AP and RR registrations which included all aspects of registration functions on
the WEB CRD and NFA online registration systems. Additionally, conducted
internal reviews and audits of employee registration files.
·
Processed,
reviewed, and tracked sales literature, sales material, promotional material,
and firm advertising, prepared and updated reports, processed blue sheet
requests and CFTC form 102 requests.
·
Administered
CE/Anti-Money Laundering Training/Ethics training/Annual Compliance Meetings,
Insider Trading and tracking reviews for RRs and APs annually. Maintained
accurate database tracking for AML training completion purposes.
·
Maintained
databases in tracking of various Regulatory Compliance issues,
internal/external auditing tracking, recordkeeping requirements and various
reporting to the Board of Directors.
·
Produced and
maintained multiple databases shared between Chicago and NY offices, produced
various spreadsheets, and worked on various special projects for the Compliance
Department.
Wheels Inc.
(Fleet Management Company)
Sales
Administrator
September 1998
– February 1999, Des Plains, IL
·
Provided Sales
Administrator support to the Sales and Marketing Departments.
·
Compiled presentation
materials for Sales and Marketing Departments.
·
Produced
general correspondence, contact lists, client and prospect information.
·
Performed sales
statistical tracking and review.
·
Completed
various projects as requested by Sales and Marketing Departments.
EDUCATION AND
TRAINING
Illinois
Institute of Technology IT Programs
Database
Fundamentals with Microsoft Access 2000
Certification
August 2000,
Chicago, IL
Stevens
Institute of Business & Arts – Graduate (formerly Patricia Stevens College)
Major: Business
Administration, Associate Degree Graduate: August 1991
Minors: Legal
Studies & Computer Operations
Outstanding
Academic and Personal Achievement, Fall Session-1990, Spring & Winter Sessions
1991, St. Louis,
MO
PROFESSIONAL ASSOCIATIONS
·
Member of the
Society of Corporate Compliance and Ethics (SCCE)
·
Member of the
Association of Certified Fraud Examiners (ACFE)
SUMMARY OF
QUALIFICATIONS
·
Additionally,
skilled in licensing/registration of registered personnel and administering HR
employee related training programs for all firm personnel working in
conjunction with the Compliance and Legal Departments. Possess effective
analytical and time management skills.
·
Attended
various IACET seminars for Customer Service and possess strong interpersonal
skills.
·
Attended and
completed various internal Compliance related training programs and awarded CE
credit hours administered by the American Management Association. Attended
various CE/AML/Ethics Training/ Insider Trading and Annual Compliance Meeting
training programs at Broker Dealer and FCM as required by member regulatory
exchanges.
TECHNICAL
SKILLS
·
Database
Fundamentals with MS Access 2000 Certification, IIT Certifications, Aug. 2000
·
Advanced
proficiency in all Microsoft applications which includes: MS Word, MS Excel, MS
Access (10 years of experience), MS PowerPoint, MS Outlook; also GMI, BETA,
Phase 3 experience.
·
Training and
work experience includes the processing of futures registrations for Associated
Persons (APs) on the NFA online registration system (ORS) and the processing of
securities registrations for Registered Representatives (RRs) on the FINRA (WEB
CRD) online registration system platforms.
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