Description
A broad based, experienced professional with a unique blend of credentials and a proven track record of generating support for one of the most profitable Complex in the eastern region. A motivated team player with the ability to comfortably interact on all levels with others in the organization. Skilled at meeting SEC and FINRA regulations through the review, analysis and identification of potential liabilities. A self starter recognized for the ability to establish credibility and trust with producers, staff and home office personnel.
Work Experience
| COMPANY | POSITION HELD | DATES WORKED |
|---|---|---|
| (Confidential) | Dba Integra Investment Service Osj Compliance Officer | / - Present |
| (Confidential) | Manager | / - Present |
| (Confidential) | Consultant, Product Oversight Analyst | / - Present |
| (Confidential) | Vp, Compliance Manager | / - Present |
| (Confidential) | Divisional Vice President, Compliance Manager | / - Present |
| (Confidential) | Administrative Manager, Compliance Officer | / - Present |
| (Confidential) | Regulatory Investigator | / - Present |
| (Confidential) | Product Manager Commission Liaison | / - Present |
| (Confidential) | Volunteer Golf Instructor | / - Present |
Accomplishments
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