Compliance Officer Career Research and Resources
Sydran Corporation
Managed the day to day Operations of 14 Burger King restaurants in the Fresno Ca. DMA. Set vision, goals and direction to management team in order to achieve operational superiority, sales and profitability.
Avg. Salary: $115,000 · Company Rank: Not Available
CC&I
Directed all operational and financial activities for 12 Burger King franchise restaurants in the Fresno DMA
Avg. Salary: $115,000 · Company Rank: Not Available
Scotia Capital
Initially challenged to assess existing employee trading platform and quickly became competent on Scotia’s Code of Ethics. Focused on assisting the Equity Trading Division with compliance coverage. • Effectively performed detailed surveillance of employee trading activities to comply with FINRA and the firm’s “Watch/Restricted” list. • Accurately reconciled employee trade confirmations with monthly financial statements
Avg. Salary: $152,500 · Company Rank: Not Available
Adecco Group/Credit Suisse USA
• Assisted in the day to day compliance services supporting the Equity Derivatives desk, Convertible Sales and Trading, ETF desk and Investor Solutions Group • Development and maintenance of all supervisory procedures and corresponding supervisory checklists • Development, review and follow-up of several surveillance and control related reports/procedures to ensure compliance with FINRA/SEC regulations • Assisted in respon...
Avg. Salary: $152,500 · Company Rank: Not Available
ForwardThink Group/Merrill Lynch Wealth Management
Deployed to this key client and tasked with reviewing current practices and enhance product offerings. Placed to roll out a successful composite performance reporting initiative. Liaised with Merrill’s legal/compliance department to review disclosures and SEC “no action” letter and reach compliance with Investment Advisers Act. Produced and modified a full range of critical financial documents per performance standards. • R...
Avg. Salary: $152,500 · Company Rank: Not Available
Cutter Associates/Nomura Credit Research and Asset Management
Hired and immediately faced with helping to streamline transaction processing and review reporting tools. Deployed to render expert advisory services on investment performance to the Head of Operations and team during the successful implementation of a new platform. Bridged gap between business and technology through clear communications. • Exercised thought leadership to deliver insights on best practices, consistently exc...
Avg. Salary: $152,500 · Company Rank: Not Available
Deutsche Asset Management
Quickly assessed existing situation and prepared better policies and procedures for navigating verification audit. Team-led all preparation functions for an Investment Performance Standards audit for this organization. Acted as application expert for CFA’s Global Investment Performance Standards (GIPS®) $246B reporting process; updated detailed manual. • Successfully piloted the internal examination/audit of this firm, veri...
Avg. Salary: $152,500 · Company Rank: Not Available
AIG Investments
Initially focused on learning and adapting to a new reporting and performance platform. Guided compliance efforts with investment performance standards. • Effectively coordinated the GIPS® compliance initiative among various regional offices and affiliates. • Reviewed financial transitions to optimize performance per GIPS® and Investment Advisers Act
Avg. Salary: $152,500 · Company Rank: Not Available
Brown Brothers Harriman & Co.
Challenged with understanding operational dynamics to ensure compliance with all investment standards. In charge of tracking all benchmarks for investment accounts, while complying with investment standards and securing critical financial data for $38B AUM. • Headed the rollout of a new investment performance platform; also reviewed Investment Management Agreements to ensure compliance with Investment Advisors Act. • Smooth...
Avg. Salary: $152,500 · Company Rank: Not Available
Deutsche Bank/Bankers Trust
Tasked with getting up to speed quickly on general accounting, performance policies and market dynamics. Analyzed financial statements and prepared monthly investment reports for $2B AUM. • Recipient of the “Bullseye Award” for service excellence from Bankers Trust in 1999. • Ensured optimal data integrity through close interaction with custodians and fund accountants
Avg. Salary: $152,500 · Company Rank: Not Available
