Compliance Advisor

Qualifications Summary

More than six years of combined experience in client services, operations, and compliance, within the financial services field.
Thorough knowledge of general securities products, advisory services, and trading practices.
Proven ability to develop and maintain strong relationships with financial advisors and clients.
Highly effective at presenting and communicating complex financial information to diverse groups of people.
Exceptional analytical, investigative, writing, and reporting skills.
Instrumental in providing solutions and making decisions that improve processes and achieve objectives.
Certified in Series 6, 7, •••••, •••••, ••••• and •••••
Computer skilled in MS Word, Excel, PowerPoint, Outlook, and Access; FBSI, BOS, Advent, and NetExchange Pro.


Professional Experience

COMMONWEALTH FINANCIAL NETWORK, Waltham, MA, January ••••• to February •••••

Surveillance Compliance Advisor/Surveillance Compliance Associate, January ••••• to February •••••
•••••Promoted from Surveillance Compliance Associate to position as Surveillance Compliance Advisor.
•••••Performed surveillance and risk management; reviewed and analyzed the trading practices of Commonwealths
•••••group of independent financial advisors.
•••••Ascertained the reasons behind transactions and made sound decisions regarding appropriate follow-up actions.
•••••Confidently navigated sensitive conversations with financial advisors to communicate company policy related
•••••to industry regulations, which in some cases involved the issuance of Letters of education or Letters of caution.
•••••Processed a range of compliance reports, including personal securities trading, inactivity for fee-based advisory
•••••accounts, equity review, transaction activity, distribution, and anti money laundering reports.
•••••Developed manuals and procedures that increased the efficiency and accuracy of compliance reporting.
•••••Delivered hands-on and video conference training to surveillance compliance advisors.
•••••Supported the external auditing team with information on business models, sales practices, and potential risks.
•••••Forged bonds with financial advisors, providing outreach and education that enhanced compliance.

Asset Management Operations, January ••••• to January •••••
•••••Processed high numbers of fee-based new account business, variable annuities, third-party paperwork, and
•••••multiple account maintenance aspects.
•••••Consistently communicated and reinforced company policies, procedures, and requirements to Commonwealth
•••••financial advisors and established a reputation as a reliable resource.
•••••Promoted to Compliance Associate after demonstrating superior levels of performance, accuracy, and critical thinking.

COLUMBIA MANAGEMENT, Denver, CO, October ••••• to July •••••

Client Services Representative/••••• Plan Specialist
•••••Started out as a Client Services Representative providing customer service to client service brokers, shareholders,
•••••and the Columbia Funds Distributors sales desk. Answered detailed questions on mutual fund investments within
•••••the Columbia fund family.
•••••Earned promotion to ••••• Plan Specialist for Columbia Advisor Plans in New York State and Nevada. Promptly
•••••responded to client inquiries with research regarding plan requirements and guidelines. Cited various tax
•••••publications, fund information, and follow-up research.
•••••Selected by management to back up the Key Client Services Department during periods of high call volume.

Additional Experience

•••••Ski Instructor, COPPER MOUNTAIN SKI RESORT, Summit County, CO, December ••••• to March •••••
•••••Intern, BERLIN MUSEUM FOR COMMUNICATION, Berlin, Germany, September ••••• to December •••••
•••••
Publications (Published the following articles in the Commonwealth Business Review.)

•••••Assessing Risk in Your Book of Business, February •••••
•••••Documenting Client Interactions: Best Practices and Tricks of the Trade, February •••••
•••••Important Changes in Personal Securities Trading and Pricing of Trades, July •••••

Education

Nazareth College of Rochester, Bachelor of Science in Business Administration, May •••••
•••••Activities: Semester abroad in Berlin, History Club, Partners for Learning, Wilderness Club