Resume Service
The Following Text Is An Unformatted Professional Resume Sample
From The Writers At Resumes Guaranteed


ORDER YOUR OWN LETTER-PERFECT, JOB-WINNING RESUME AND IT WILL BE COMPLETED AS SOON AS YOU NEED!
Click HERE!



yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000

Phonexxx-xxx-xxxx / E-mail: abc@xyz.com

 

~ Eager to contribute extensive financial services background as well as proficiencies in compliance, risk management, and client relations toward supporting a dynamic employer in achieving goals and objectives. ~

 

 

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

 

         Significant experience in the financial services industry with expertise in project leadership relating to securities compliance, risk management, and anti-money laundering.

         Advanced knowledge of rules and regulations pertaining to NASD, SEC, the Bank Secrecy Act and US PATRIOT Act.

         Superior leadership talents and capabilities in directing teams throughout the engagement lifecycle, effectively providing expert guidance regarding objectives, scope and deliverables.

         Proven skills in coaching, developing and mentoring consulting personnel; led informative/training seminars such as Introduction to Business Process Risks and Controls, Testing Controls and Fraud Considerations. 

         Excel in development and enhancement of compliance policies and procedures for Broker-Dealers and banking institutions.

         Adept in designing risk governance structure and recommending processes for risk identification and risk scoring.  

         Drafted articles and news bulletins for securities and investment management section of Deloitte publication. 

yyyyyy x. yyyyyy

Career Background

 

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

Regulatory & Capital markets Services, Banking and Securities Practice Manager

  • Apply dynamic financial, analytical and client relations expertise toward providing regulatory consulting services with specialization in general securities compliance, risk management, anti-money laundering and anti-terrorist financing. 
  • Conducted gap assessments to identify regulatory deficiencies in compliance programs for large Broker-Dealers, and presented recommendations and risk mitigation considerations. 
  • Scrutinized sales practices of registered representatives for compliance with firm policy and securities laws.
  • Evaluated risk management practices for global financial institutions against industry ERM practices; interviewed risk management personnel, performed gap analysis of controls, drafted   recommendations for a remediation program, and assisted in implementation of project plan.
  • Assisted global financial institution with major upgrade of AML (anti-money laundering) program by conducting gap assessment, creating remediation roadmap for control shortcomings, and defining AML policies and procedures including Customer Identification Program processes.
  • Determined AML training needs for Depository Institution, and spearheaded independent testing of Broker-Dealers AML Program to ensure and optimize effectiveness.
  • Directed and supervised team of 12 in design and deployment of risk-based internal control self assessment program vital to ensuring compliance with AML laws and regulations.
  • Merged exemplary communication and interpersonal skills to nurture and manage key client relationships; relied upon to ensure accurate and timely deliverables, facilitate status reporting, and administer budgets for engagements exceeding $1M.

 

Continued

Sandra Williams                                                                                               Page 2 of 2

yyyyyy x. yyyyyy

  • Enforced and achieved first-rate performance and productivity of teams through coaching, supervision, feedback, orientation and training.
  • Presented with two Deloitte Outstanding Performance Awards in 2007 and 2008.

 

Senior Consultant, Regulatory & Capital Markets Services                               2006 to 2007

  • Assembled and launched regulatory remediation program for global financial institution, strategically designing business and regulatory requirements matrix to assist institution in meeting books and records requirements for Investment Advisory Services.    
  • Directed, motivated and managed engagement team in designing innovative remediation data system to track regulatory deficiencies and remedial measures.
  • Probed Broker-Dealers supervisory control processes for adherence to NASD Rule 3012.

                  

NASD Regulation, Inc. (n/k/a FINRA), Chicago, IL                                                                2004 to 2005  

Compliance Examiner 

         Proficiently performed  comprehensive Cycle Examinations (financial, operational and sales practice examinations) of FINRA (Financial Industry Regulatory Authority) member firms.

         Examined Broker-Dealers Anti-money Laundering Compliance and Customer Identification Programs to ensure precise alignment with PATRIOT Act, Bank Secrecy Act, and SEC and NASD Rules.

         Assessed Broker-Dealers supervisory control systems and member firms Written Supervisory Procedures for compliance with SEC and NASD Rules; exhibited outstanding attention to detail in preparing examination reports for management review.

         Assigned to oversee case docket of 25 Cause Examinations involving securities and accounting fraud, successfully referring 75% of investigations for enforcement action.

 

NASD Dispute Resolution, Inc. (n/k/a FINRA), Chicago, IL                                                    2001 to 2004

Legal Assistant   (2002 to 2004)  

  • Proactively supported attorneys in determining sales practice violation and by drafting Pleadings for Securities Arbitrations.

Law Clerk   (2001)

  • Thoroughly reviewed 600+ client files to uncover transactions of securities and accounting fraud.

 

Additional Experience:

 

Vice Chair, Social Assistance Review Board, Government Of Ontario, Toronto, ON

Judicial Clerk for Honorable Judge Drella Savage, Circuit Court Of Cook County, Chicago, IL

Senior Associate, Economic Advisory Services, Grant Thornton, LLP, Miami, FL

 

Education & Professional Development

 

Master of Business Administration, University Of Illinois, Urbana-Champaign, IL, 2005

  • Recipient of MBA Leadership Award

 

Bachelor of Science, University Of Toronto, Toronto, ON, 1996

 

Certificate of Completion, Examiner Training Program (Fundamentals of Brokerage Operations, Introduction to SEC Rules, Sales Practices, Financials, Trade Reporting & Series 7 Product Lines) C achieved 90% on test

yyyyyy x. yyyyyy

Technical Skills

 

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

<< Previous           Back to Sitemap           Next >>

Remember: Hire Us To Write YOUR New Resume
And We GUARANTEE That If You’re Not Working In 60 Days Or Less,
We’ll Revise Your Resume, Refund Your Money,
AND Give You $50 EXTRA!

Click HERE!