Professional, Analytical, Personable, Reasonable, resourceful.

COMPANY	POSITION HELD	DATES WORKED
(Confidential)	(Confidential)	10/2006 - Present
american express	(Confidential)	12/1995 - 10/2006

SCHOOL	MAJOR	YEAR	DEGREE
uofm	econ	1987	Bachelor Degree

Highlights:

see resume

Companies I like:

US Bank, Wells Fargo, Transamerica, Securian, Varde, Deephaven (knight), any invesment bank etc.

Perform compliance audit work, apply regulations and compliance best practices for financial services firms on a contract basis. Thorough knowledge of NASD/NYSE (SIRA), SEC, banking and insurance industry rules and their applications. Perform audits relating to books and records, communications with the public, advertising, sales literature, business contingency, AML and CIP programs, annual compliance requirements for licensed and non-licensed staff, employee records etc. Ability to tailor compliance solutions applicable to each firm based on size, volume and nature of products and services.