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AREAS OF EXPERTISE Compliance Compliance Testing Leadership Anti-Money Laundering Audits Logistics Relationship Building Program/Project Management Problem Solving Verbal & Written Communications Investigations Risk Assessments Strategic Planning Legal Research & Analysis Organization Process Improvement Staff Training & Motivation HIGHLIGHTS OF QUALIFICATIONS * Several years of productive experience in Compliance, Regulatory Affairs and Operations * Developed, documented, and implemented internal controls and supervisory procedures. * Chief Compliance Officer of Broker Dealer and RIAs. * Created, developed, and presented a number of effective training programs. * Supervised Registered Representatives under Heighted Supervision * Exceptional ability at building relationships between compliance/principal review and the sales force. * Highly skilled in investigating clients' issues with proven track record of successful resolution. SUMMARY OF QUALIFICATIONS Compliance and Operations * Established and provided risk assessments and management reviews, regulatory compliance, compliance training and other innovative programs to minimize regulatory compliance exposure for a variety of financial services companies. * Maintained high standards of integrity in supervision of securities operations, sales, anti-money laundering/BSA and transaction management monitored and reported on internal controls pursuant to FINRA Rule 3130 (f/k/a NASD Rule 3013) and NASD Rule 3012, interfaced with agencies including NASD/FINRA, SEC, NYSE, FinCen, OFAC, MSRB and state regulators. * Effectively handled and responded to regulatory examinations and other regulatory inquiries. * Audited and conducted annual internal reviews and examinations, anti-money laundering reviews, compliance reviews and assessments and onsite branch audits of broker dealers, registered investment advisors. Program/Project Management * Applied dynamic strategic planning, prioritization, and project management skills toward consistently achieving critical deadlines while maintaining high quality standards. * Maintained full accountability for designing and implementing an innovative administrative hiring system which ensured firm's compliance with FINRA regulations governing privacy concerns and access to potential hires. * Prioritized and coordinated multiple simultaneous projects to maximize efficiency and achieve timelines. * Drafted policies and procedures, implemented and maintained written supervisory system which established framework to ensure firm's compliance with applicable SEC, FINRA, state and other regulatory agency rules and regulations including anti-money laundering, FCPA, etc. KEVIN L. WARMACK kwarmack@gmail.com Research & Analysis * Developed extensive knowledge and understanding of SEC, NASD, MSRB, FINRA and state rules and regulations including Investment Advisors Act of 1940. * Assessed a broad range of proposed FINRA sanctions against firm and provided counseling and education to management and staff members, resulting in a 66% reduction in FINRA fines levied against the company. * Effectively analyzed internal processes to define inefficiencies and provided expert recommendations which boosted operational performance and compliance. . Communications & Training * Demonstrated strong communication and leadership abilities in effectively integrating a culture of compliance following a period of low staff morale. * Designed, developed and implemented an improved in-house Firm Element Continuing Education Training program, integral to optimizing compliance while promoting productivity and efficiency. * Prepared PowerPoint slides and conducted on-site training in SEC Rule 15c3-3 (Customer Protection Rule) for optionsXpress, Inc. and TD Ameritrade. * Taught several classes in the Advance Leader Training Course (WoodBadge) for Boy Scout Leaders including Project Planning, Listen to Learn. * Played a key role as the appointed representative of the firm at municipal bond underwriting meetings, integral to ensuring firm's participation in $100 million bond underwriting and acquiring $55,000 in fees for the firm.
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