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Financial Services Compliance Professional
I am a Financial Services Compliance professional with over 12 years of SEC examination experience; as well as, over four years of compliance experience for a large financial services company. I possess strong analytical, evaluation, research and communications skills. I have the ability to develop and communicate action plans for resolution of identified control gaps. I have in depth knowledge of Federal and Self Regulatory Organization rules and regulations, including all aspects of the Investment Advisers Act and Investment Company Act. I have the ability to establish and maintain strong working relationships with clients, management and peers.
Compliance Manager
About Me
Industry: |
Management & Business |
|---|---|
Occupation: |
Compliance Manager |
Education level: |
Bachelor |
Will Relocate: |
Yes |
