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Title |
Location - (Distance) |
Salary/Rate |
Date |
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Compliance Officer |
Brooklyn, NY US - ( mi.) |
$70K to $100K |
Oct 23 |
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| Professional Experience Gilford Securities Inc. New York, NY April to Present Chief Compliance Officer • Oversee and manage compliance issues within the organization and ensure that firm RIAs are complying with SEC rules and regulations, and that registered broker/dealer representatives are complying with FINRA rules and regulations. • Update the written supervisory policies and procedures for the Investment Adviser and Broker/Dealer. • Respond in a timely fashion to FINRA and SEC inquires. ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | High School Diploma |
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Compliance Analyst |
Brooklyn, NY US - ( mi.) |
BONUS |
May 2 |
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| OBJECTIVE To obtain a position in the field of complianceEXPERIENCE Bear Wagner Specialists LLC, New York, NY/-/ Compliance Analyst• Managed many specialist and trading compliance functions • Performed surveillance of proprietary trading and firm error account• Monitored the firm compliance with AML obligations• Oversaw communication and training for employees• Maintained the AML procedures to ensure that the procedures are up-to-date with current rules and regulations• Ensured proper ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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compliance officer |
Baldwin, NY US - ( mi.) |
negotiable $90K to $120K |
Nov 4 |
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| MAIL- SUMMARY: Extensive experience in Brokerage Operations, Compliance and Investment areas. Current specialty is Compliance. EMPLOYMENT: PARETO PARTNERS/PARETO SECURITIES, NEW YORK, N.Y (July -Present) COMPLIANCE OFFICER Pareto Partners is registered with the SEC as an Investment Adviser under the Investment Advisers Act of and is also regulated with the FSA in the United Kingdom. Pareto Securities was registered with the NASD and SEC. The firm ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Vice President |
Merrick, NY US - ( mi.) |
Year-end bonus |
May 13 |
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| William Vandenburgh Rose Street, Merrick, NY -- Home -- Cell william Employment History: JPMorgan Chase September to October Vice President/AML Corporate Compliance • Provided written and verbal analysis of Bank Secrecy Act, including USA PATRIOT Act, KYC, CIP and OFAC Regulations. • Member of various AML related committees, including AMLOC, CTR Advisory, SAR Advisory, KYC Subcommittee, to implement and enhance compliance with AML ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Compliance Officer |
Jersey City, NJ US - ( mi.) |
$80K to $120K |
Dec 7 |
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| Objective: To obtain the position of Compliance Associate with an Investment Adviser. Licenses: Series , Series , Series Work Experience: MassMutual Financial Group, Overland Park, KS March -Present Compliance Officer Accomplishments: Designed a branch office central filing system in accordance with company and regulatory requirements Created a management system that offers the firm’s orphan client’s proper service and the firm manageability Rolled out privacy policy procedures ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Supervisor |
Fort Lee, NJ US - ( mi.) |
$50K |
Jul 11 |
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| WILLIAM A. AMAZZINI Banking professional with demonstrated supervisory capabilities in Regulations and Compliance. Extensive loan processing and collection experience. Recognized as dependable with attention to detail that often resulted in minimizing risk and potential losses. EXPERIENCE HUDSON UNITED BANK, North Bergen, NJ – Team Leader/Supervisor (-) Managed and supervised five departments: Return Mail, Account Verifications, Levy & Subpoena, Post Conversion. Expertise in ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Some College |
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Chief Compliance Officer |
Wantagh, NY US - ( mi.) |
$50,K |
Mar 25 |
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| VINCENT CALVARUSO Seamans Neck Road, Wantagh, NY () - (VM) -- (Mobile) Vgc OBJECTIVE: To secure the role of Examiner or Director within the FINRA organization. PROFESSIONAL EXPERIENCE (Licensed since ) Branch Office Manager (Compliance) and AML Compliance Officer EKN Financial Services-Headquarters (April -present) Coordinates with CCO/COO. AML Compliance-essential duties and responsibilities are, but not limited to: • Developed AML ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Fraud Investigations |
Mohegan Lake, NY US - ( mi.) |
$90K to $150K |
Jul 24 |
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| OBJECTIVE: Investigations / Project ManagementEMPLOYMENT: Altria (formerly Philip Morris) – New York, NY (-Present)Lead Investigator - Special Audit Investigation Group• Conduct internal investigations on a domestic and international scale involving revenue, marketing, sales, contraband, employee contributions and human resources• Perform interviews of appropriate employees and third parties; analyze relevant business documents• Directly assist Legal, Financial, and Human Resources ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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AML/Compliance Specialist |
Jamaica, NY US - ( mi.) |
$110K to $140K |
Jul 23 |
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| Adaobi O. Okoye, Esq., CAMS, - Baisley Blvd. Jamaica, NY () - Professional Profile New York State Licensed Attorney consulting as an Independent Contractor in the Compliance Sector. Has conducted various Anti-money laundering (AML) investigations, OFAC reviews and Know Your Customer (KYC) remediations at major international banks and financial institutions to ensure compliance with the USA Patriot Act, the Bank Secrecy Act (BSA), and various bank ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Open |
Maplewood, NJ US - ( mi.) |
$70K to $250K |
Jan 14 |
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| Bianca Y. Greene Franklin Terrace Maplewood, NJ (C) () - - (H) .. SUMMARY: Primary point of contact for the Compliance Activities unit within the Office of Legal Management which is responsible for ensuring compliance for a staff of , and , students as well as outside vendors. Responsible for a mixture of project management and administrative functions as appointed by the Senior Vice President/General Counsel and the Directors. Supervise ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Compliance Analyst |
Brooklyn, NY US - ( mi.) |
$70K to $90K |
Aug 29 |
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| EDUCATION New York University, Leonard N. Stern School of Business Bachelor of Science in Management and Marketing EXPERIENCE DnB NOR Bank ASA Assistant Treasurer Compliance/OFAC Officer Jun. -Aug. • Analyzed and ensured Customer Identification program and Know Your Customer regulation is in compliance with the USA Patriot Act and Bank Secrecy Act • Created and monitored customer profiles • Monitored accounts, including transaction trends and investigations • Managed day to day ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Attorney |
New York, NY US - ( mi.) |
$60K to $100K |
Sep 23 |
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| BAR ADMISSIONS New York, New Jersey, LEGAL EXPERIENCE PURDUE PHARMA L.P., New York, NY Through Legal Support Personnel Contract Attorney, November – August Worked for in-house legal department in collaboration with outside counsel reviewing documents for relevance, confidentiality and compliance; prepared summary memoranda and privilege logs during discovery phase of various litigation matters including patent infringement and product liability lawsuits. HUGHES HUBBARD & ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Attorney/Compliance Officer |
New York, NY US - ( mi.) |
$140K to $250K |
Sep 10 |
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| PROFESSIONAL OBJECTIVE A compliance position in a leading financial services firm that values innovative solutions to balancing profitability and managing regulatory and litigation risk. SUMMARY An M&A professional and former litigation attorney with a strong understanding of broker/dealer compliance, mergers and acquisition and legal issues. Experienced problem solver with a track record of successfully directing and completing complex projects in the M&A, private equity and legal fields. ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Compliance |
White Plains, NY US - ( mi.) |
$60K to $80K |
Aug 15 |
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| Keith J Martell BAR ADMISSION New York State, EDUCATION Albany Law School of Union University, Albany, NY Juris Doctor, May GPA: . University of Delaware, Newark, DE Bachelor of Sciences, Business Administration, May Concentration: Finance; Minor: Economics WORK EXPERIENCE Morgan Stanley, Purchase, NY Contract Attorney, Winter – Spring • Support a name and disclosure change for the legal entity merger of two principal broker-dealers • Draft language for marketing ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Legal Analyst |
New York, NY US - ( mi.) |
$80K to $90K |
May 12 |
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| Defining the Brand: BA Honors NYU Political Science graduate with professional collaboration within the areas of corporate banking and corporate legal departments, financial institutions and commercial entities. Notable accomplishments: Extensive research and analysis capabilities on a range of legislative, regulatory and politically related issues including SEC rules and regulations , , , Sarbanes Oxley, Fair Credit Reporting Act, Gramm-Leach Bliley Act, Patriot Act, Banking ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Compliance |
North Caldwell, NJ US - ( mi.) |
$80K to $100K |
Aug 2 |
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| SUMMARY OF QUALIFICATIONS Experienced Compliance executive with over years in the Financial Services industry. Detail-oriented as well as excellent organizational, project management, analytical, and interpersonal skills. Proficient in MS Office. PROFESSIONAL LICENSURE * FINRA Series , , , , * NJ Resident Life/Health & Accident/Variable * NY Non-Resident Life/ Health & Accident/Variable * CT Non-Resident Life/ Health & Accident/Variable * Medallion Signature Guarantee Certified -- ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Compliance Officer |
Hoboken, NJ US - ( mi.) |
range of $95,000-$135,000 |
Jan 11 |
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| FRANCINE COLON Hudson Street, Apt. #B Hoboken, NJ Home: .. Cellular: .. SUMMARY of QUALIFICATIONS: REGULATORY COMPLIANCE Skilled compliance professional with over ten years experience reviewing both equity and fixed income matters for major global institutions. Strong analytical and problem-solving skills: Distill complex financial reports and statements to ensure securities compliance and investment clarity; propose solutions to non-compliant ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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SVP |
Staten Island, NY US - ( mi.) |
$110K to $150K |
Apr 14 |
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| Robert DiGennaro Boulder StreetStaten Island, NY Home () - Work () - Cell () -Professional ExperienceDivine Capital Markets LLC September -PresentDivine Asset Management LLCSVP/Chief Compliance Officer• The firm’s business lines are institutional equities and options trading, research and investment banking/financial advisory.• Supervised and tested compliance procedures across all line of business.• Prepare and file all regulatory ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Analyst |
Harrison, NJ US - ( mi.) |
$60K to $70K |
Jan 17 |
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| SKILLS SUMMARY Detailed oriented, highly conscientious, result-oriented professional with a history of demonstrated accomplishments, in conflict resolution, project management and negotiations. A self-starter and team player with interpersonal, organizational and problem solving skills. EMPLOYMENT SENIOR ASSOCIATE, COMPLIANCE Retirement’s Contract Compliance Unit (“CCU”) April -October Prudential Financial, Iselin, NJ • Quality Assurance Administrator of an internal Control Inventory ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Attorney |
New York, NY US - ( mi.) |
$120K to $150K |
Feb 17 |
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| WORK EXPERIENCE Ombudsman Solutions LLC, Consultant, New York, NY /-present Clients included Bear Stearns Wagner, Boies Schiller & Flexner, Future Electronics.· Conducted compliance investigations including late trading and market timing· Prepared responses to SEC and Attorney General’s subpoenas related to alleged securities fraud · Drafted compliance policies incorporating Sarbanes-Oxley Act, U.S.A. Patriot Act, Title VII – Civil Rights Act, Family and Medical Leave Act, Fair Labor ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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attorney |
Rockville Centre, NY US - ( mi.) |
$120K to $200K |
Mar 2 |
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| Professional Experience Greenberg Traurig, LLP, New York, NY March to present Attorney, Broker-Dealer/Securities Department * Represent several of the largest retail broker-dealers in “know your customer”, sales practice, compliance and research analyst matters. * Member of a white-collar litigation team representing Member Firm and Research Analyst regarding highly publicized sale of WorldCom securities. * Research and prepare for major NASD “sales contest” audit of a major retail ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Operations Specialist |
South Richmond Hill, NY US - ( mi.) |
$50K to $60K |
Aug 2 |
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| OBJECTIVE: To obtain a position within an organization that will provide me with the opportunity to grow both as a professional and an individual EMPLOYMENT: General Operations Specialist Forex Capital Markets, LLC – New York, NY Mar - Present •Review and approve new applications; verify the authenticity of legal documents and investigate client’s financial history to ensure the new activating account is in compliance with all regulatory requirements •Conduct in-depth background ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Paralegal |
New York, NY US - ( mi.) |
$60K to $100K |
Dec 27 |
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| Professional Objective: To use my financial services experience, together with my knowledge of Securities Law and SEC/NASD rules and regulations, in order to obtain a financial services Paralegal position. Education: New York University, New York, NY; Diploma in Paralegal Studies; May Anticipated Coursework in Securities Law, including Act, Exchange Act of , Acts, Sarbanes-Oxley, Blue Sky Laws; and Legal Research and Writing. Villanova University, Villanova, PA; – ; ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Compliance |
brooklyn, NY US - ( mi.) |
$50K to $250K |
Nov 23 |
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| EDUCATION Benjamin N. Cardozo School of Law, New York, NY Academic: J.D., June ; GPA: . (Top %); New York Bar Exam: Passed (Awaiting Admission) Honors: Cardozo’s Intellectual Property Journal: The Arts and Entertainment Law Journal Dean’s Merit Scholarship Award; Frank Lautenberg Scholarship Award Publications: Note, Forfeiting Liberty: A Collective Sense of Vulnerability and the Need for Proactive Protection After /, CARD. J. L. & PUB. POL’Y (forthcoming Fall ) (manuscript on ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Compliance |
New York, NY US - ( mi.) |
$70K to $110K |
Mar 19 |
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| Area of Expertise • BSA / AML Compliance/KYC/ Sarbanes Oxley Internal Audit/Risk Management/AML Quality Control • Timely Periodic Reporting, suggest procedural enhancement protocols • Ensure staff training and development of monitoring systems and policy enforcement • Senior Liaison to Internal Audit and Compliance division • Perform quarterly branch review audits and fair lending analysis • Maintain target balance account levels, Monitor ACH and wire transfers PROFESSIONAL EXPERIENCE ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Compliance |
New Milford, NJ US - ( mi.) |
$40K to $60K |
Mar 29 |
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| PROFESSIONAL EXPERIENCE Feb – Present NET TRIP TECHNOLOGY, NJ COMPUTER REPAIR & TELECOM CABLING • Computer repair and upgrades • OS system reinstalls, Driver installation, Virus removal, Ghosting • New / refurbished computer builds • CAT cable wiring (panel to wall and patch builds) Feb – May FINANCIAL NORTHEASTERN CO – FAIRFIELD, NJ COMPLIANCE (Consultant) • Conducted reviews of Exception reports, Employee trading and order tickets. • Responsible for assisting Option / Securities ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Compliance |
Mountain Lakes, NJ US - ( mi.) |
$130K to $200K |
Jun 29 |
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| HOWARD C. SAWRANSKY, Esq., CAMS EXECUTIVE SUMMARY: Compliance professional and strong business advocate. Expertise in AML, regulatory examinations, ‘Alphabet’ regulations, risk assessments and safety and soundness issues. Key player in Bank’s AML remediation project which developed effective KYC operational and control procedures for corporate and retail banking groups. PROFESSIONAL EXPERIENCE: BANK OF TOKYO-MITSUBISHI UFJ, LTD. June - Present VP and Business Lines’ Compliance Officer, New ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Compliance |
New York, NY US - ( mi.) |
$80K |
Nov 20 |
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| Assist with managing staff of College of Law newspaper; coordinate all aspects of paper section including story assignments, writing, and editing; interview article subjects; staff writer; articles and editions available upon request (http://law.gsu.edu/thedocket/) Student Health Law Association, Member (-): Participate in lectures on relevant topics (i.e. medical malpractice, health insurance, and risk management) FLORIDA ATLANTIC UNIVERSITY – Boca Raton, Florida. Bachelor of Arts ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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compliance |
Forest Hills, NY US - ( mi.) |
$40K to $50K |
Jan 3 |
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| Michael Asoulin --rd. Apt. D Forest Hills, NY -- Education University at Buffalo Law School, Buffalo, New York J.D., . Stony Brook University, Stony Brook, New York B.A., Philosophy, with coursework in economics and finance, . Experience Smith Barney, Buffalo, New York Financial Planning/Wealth Management Intern – / – / Assisted clients and prospective clients with general aspects of financial planning and management including, ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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compliance |
North brunswick, NJ US - ( mi.) |
$30K to $40K |
May 12 |
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| TAMIKA S. EVANS Livingston Ave, Apt. C* North Brunswick, NJ *() - (cell) *Email: JOB OBJECTIVE Seeking Position with a company that affords me the opportunity to utilize my talents and strengths EDUCATION/CERTIFICATIONS & SKILLS B.A. in Psychology- The College Of NJ (Dec. ) Division of Developmental Disabilities Certification • Abuse & Neglect, Psychotropic Medications, Health and Hygiene Crisis Intervention Certification • Biopsychosocial ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Compliance |
Brooklyn, NY US - ( mi.) |
$70K to $80K |
Dec 16 |
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| PROFESSIONAL OBJECTIVE To obtain a Risk Management/Compliance position where I can effectively utilize my experience and make positive contributions to the organization. PROFESSIONAL EXPERIENCE PERR & KNIGHT, INC., Jersey City, New Jersey Compliance Consultant, / – / ? Complied with property and casualty insurance rules, regulations and trends. ? Answered and resolved client inquiries regarding products and services. ? Analyzed and interpreted contractual provisions. ? Researched ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Compliance |
Long Island City, NY US - ( mi.) |
$70K to $100K |
Apr 5 |
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| Bar Admission: State of New York, Education: Quinnipiac University School of Law Hamden, CT Juris Doctor, May cum laude Stony Brook University Stony Brook, NY Bachelor of Arts, Political Science, May Experience: Goldman Sachs & Co. – Compliance Surveillance Strategy Group New York, NY Anti-Money Laundering Analyst (Solomon Page Group) September – Present • Highly organized; meticulous attention to detail; work well under pressure whilst meeting strict deadlines and have ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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compliance |
Keansburg, NJ US - ( mi.) |
$80K to $120K |
Nov 26 |
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| Licenses Series , Series , Series , Series , Series Experience Tower Legal Services (on Assignment at JP Morgan Chase) October to November KYC/Due Diligence Team Manager Managed team of KYC/Due Diligence analysts responsible for reviewing current customer files/transactions, performing research, utilizing systems such as Lexis-Nexis, Halo SONAR and IVAULT, pulling transaction summary samples, identifying issues for the internal investigations team, assessing AML issues ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Compliance |
Rego Park, NY US - ( mi.) |
$70K to $90K |
Feb 19 |
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| OBJECTIVE: To obtain a permanent position within an Anti-Money Laundering Compliance department to assist in its development. WORK EXPERIENCE Independent AML Contractor, New York, New York November to present Standard Chartered Bank Dec to January US Country Compliance Supervisor • Perform AML Investigations utilizing Norkom application and various peripheral supporting applications, i.e., search engines, proprietary database services (Lexis Nexis, World Check, Accuity). • ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Compliance |
New York, NY US - ( mi.) |
$50K to $80K |
Jul 21 |
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| SUMMARY OF QUALIFICATIONS*Consummate executive administrator with years of regulatory compliance experience. *Proven success in managing and supporting executive-level administrative affairs.*Revised and monitored corporate by-laws, policies, procedures and guidelines.*Detailed oriented and organized, with high a degree of integrity and confidentiality.ACCOMPLISHMENTS*Increased compliance performance and operations by %.*Built strong communication relations as key liaison and ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Compliance |
New York, NY US - ( mi.) |
$60K to $90K |
Jun 25 |
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| CAREER OBJECTIVEResults oriented project manager with research and analytical skills in regards to real estate construction, lease, sales and investment. Willing to apply years of experience at a progressive firm.KEY QUALIFICATIONS• Demonstrated ability to assist attorneys and program managers in due diligence matters concerning real estate transactions and other contractual relationships. • Adept at title and survey review, sale/lease/construction agreement preparation and oversight.• ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Compliance |
Bayonne, NJ US - ( mi.) |
Negotiable $100K to $250K |
Mar 21 |
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| Cell SENIOR AML/OFAC COMPLIANCE EXECUTIVE Compliance expert, with over ten years of experience in the field. Skilled at policy review and writing, in order to comply with applicable state and federal rules. Successfully integrated new banking regulations into the organization’s policies, while writing applicable procedures to ensure compliance. Strong training, audit and interpersonal skills with an exceptional record of implementing change within the organization, ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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compliance |
Sayreville, NJ US - ( mi.) |
$60K to $70K |
Jul 11 |
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| OBJECTIVE Obtain a position as a Financial Compliance Officer – Securities PROFESSIONAL EXPERIENCE Pruco Securities LLC, Prudential Financial, Woodbridge, N.J. Registered Principal February - Present • Evaluate and approve new business applications and plans for suitability and compliance with the Patriot Act and firm policy • Partner with associates from other business units to resolve account issues • Review trade blotter daily for mutual fund breakpoints, B-share limits, mutual fund ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Compliance |
Brooklyn, NY US - ( mi.) |
$50K to $60K |
Sep 28 |
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| Objective: Seeking a position that will enable me to use my various organizational abilities, great computer knowledge, and data entry skills. Strong analytical and planning skills, combined with the ability to coordinate the efforts of many to meet organizational goals.Education: Medgar Evers College, Brooklyn, New York Paralegal Certificate Experience: October to March , TD Waterhouse Institutional Division Jersey City, NJ.Compliance and Product SupportPosition responsibilities ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Some College |
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COMPLIANCE |
WHITESTONE WOODS, NY, NY US - ( mi.) |
$150K |
Feb 10 |
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| Ronald H. Santo -- cell --th Street -- office Whitestone Woods, NY -- home .com TALENTED COMPLIANCE PROFESSIONAL WITH YEARS OF PROGRESSIVE ACCOMPLISHMENTS IN FINANCIAL SERVICES, COST CONTAINMENT, ANTI-MONEY LAUNDERING, BROKER/DEALER & INVESTMENT ADVISOR COMPLIANCE & REGULATION * Loyal * Diligent * Motivated * Positive * Original * PROFESSIONAL EXPERIENCE GE/GENWORTH FINANCIAL– BROKER/DEALERS & INVESTMENT ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Compliance |
New York, NY US - ( mi.) |
$40K to $50K |
Aug 18 |
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| University of Oklahoma College of Law Norman, Oklahoma May Juris Doctor • Dean’s Council - Mentor • Hispanic American Lawyer’s Association - Moot Court Competitor • The Organization for the Advancement of Women in Law, Social Chair; OU International Law Society, member; and Student Bar Association, member • Certified Mediator University of Texas at Dallas Richardson, Texas Candidate for MBA Masters in Business Administration University of Texas at Dallas Richardson, Texas May Bachelor ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Compliance |
Englishtown, NJ US - ( mi.) |
$120K to $175K |
Aug 29 |
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| SUMMARY Successfully managed and created complex and diversified compliance departments at firms whose activities included a wide range of product lines and registered capacities (including proprietary trading, block trading, institutional brokerage, investment advisory, soft dollar, research and market maker functions in equities, fixed income, and options). During my employment at the NYSE and NASD, I managed and supervised examinations of member firms which included Financial, Operations, ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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compliance |
Brooklyn, NY US - ( mi.) |
$150K to $250K |
Sep 28 |
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| Background- Seasoned Compliance Professional incorporating Technological Solutions /- Present Triland USA, Inc. NY sub of Mitsubishi Corporation, Japan , CFTC FCM & Mitsubishi International Corp, Precious Metals Dealer Compliance Manager - AML Compliance Officer –respectively Role: Answers to the Executive Board. • AML Policies and Processes –BSA/US Patriot Act/OFAC/FinCEN • Design and operating effectiveness (SAS ) compliance for SOX • Supervisory Procedures, Chinese wall • Education ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Compliance |
Forest Hills, NY US - ( mi.) |
$60K to $250K |
May 19 |
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| Offering compliance experience managing high-level regulatory risk. Conducted training sessions with senior management and issued regular written and verbal reminders on the firm’s Political Contribution and Gifts to Public Officials Policy. Evaluated contribution and gift requests to make sure the Firm was compliant with federal and state laws and internal company procedures. WORK EXPERIENCE · Citigroup; Regulatory Compliance, New York, NY, January -November · Pre-approved employee ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Compliance |
Massapequa Park, NY US - ( mi.) |
$50K to $60K |
Jun 3 |
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| October - Present GENTIVA HEALTH SERVICES – Melville, New York SENIOR POLICY FORMS SPECIALIST •Project Manager: Design and manage revisions and preparation of company policy manuals and forms for Gentiva locations. Generate specifications, estimates for best pricing which is communicated through a project status report. Write and execute inter-company communications on updates to company policy/forms. •Member of Corporate Clinical Form Committee: Drive, develop and improve clinical ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 2-Year College Degree |
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Compliance |
Brooklyn, NY US - ( mi.) |
$70K to $90K |
Jan 22 |
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| JOSEPH D. VIOLI Mercer St., Apt. C New York, NY () - COMPLIANCE EXPERIENCE American Express, New York, NY Contract Attorney July – August • Member of Foreign Exchange and International Payments Anti-Money Laundering group; examined international fund transfers for potentially suspicious activity through research and analysis of transaction histories, originators, beneficiaries, banks, and Know Your Customer information • Drafted analyses ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Compliance |
Bronx, NY US - ( mi.) |
$70K to $90K |
May 20 |
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| EDWIN Y. MERO Simpson St., Bronx, NY (C) () - Securities/Regulation Experience: ELAINE P. DINE TEMPORARY ATTORNEYS & PARALEGALS, New York, NY CLIENT: GOLDMAN SACHS & CO. August – January • Utilized E-Communications Surveillance systems to review flagged messages for content, appropriateness, regulatory compliance, and the misuse of confidential information (among other things) for the Investment Banking Division • Mitigated reputational and ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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Compliance |
Warren, NJ US - ( mi.) |
$80K to $120K |
Dec 26 |
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| MICHAEL J. MIGNANO Skyline Drive • Warren, New Jersey .. • Global Securities Markets • Securities Trading & Investigation • Regulatory Compliance • State & Federal Law Investment Adviser Creation & Registration • Securities Acts , & • Risk Management Transaction Management • Document Analysis • Communication Skills • Relationship Building PROFESSIONAL EXPERIENCE STARK & STARK, Princeton, New Jersey • -Present Associate Attorney Oversee ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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Compliance |
New York, NY US - ( mi.) |
$110K to $140K |
Mar 28 |
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| Senior AML and Legal/Compliance professional with extensive knowledge and experience as a Vice President and Business Support Manager. Excellent communication, organizational and investigative skills, decisive, detailed oriented and ability to prioritize projects to meet stringent deadlines. Comfortable working independently, as well as within a team environment. Successful at working and communicating across all corporate levels. PROFESSIONAL EXPERIENCE JP Morgan Chase / – / AML/KYC ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | 4-Year College Degree |
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compliance |
New York, NY US - ( mi.) |
$90K to $120K |
Mar 25 |
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| OBJECTIVE To utilize my experience as a securities regulator and my law degree in pursuing a career identifying and resolving compliance risk and regulatory issues. EDUCATION St. Thomas University School of Law, Miami Gardens, FL Juris Doctor, May • Articles Editor, St. Thomas Law Review • Dean’s List – Fall and Spring • Best Student Award, Advanced Legal Writing - Spring • Site Coordinator, IRS Volunteer Income Tax Assistance Program ( and ) The Ohio State ... More |
| Career Focus: | VALUE NOT FOUND |
Education Level: | Post Graduate Degree |
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