I am a quick learner who always strives to give 100%. Even though I don't have years of experience cause I am young, I am versatile and happy to learn new things.

SCHOOL	MAJOR	YEAR	DEGREE
University of Wisconsin Oshkosh	Social Work	2004	Bachelor Degree

Highlights:

? Monitor and review daily transactions. Research any trade exceptions/errors and prepare management statistical reports for senior management. ? Perform correspondence review such as faxes and emails to ensure all business communications are in compliance of applicable securities rules and regulations ? Perform self assessment audits on various functions of the broker-dealer. Report audit findings, make appropriate recommendations, and follow-up with the deficiencies noted. Perform branch reviews for compliance with internal policies and securities regulations.