Throughout my career, my primary focus has revolved around partnering with internal sales representatives to ensure that customer assets are safeguarded. As a securities industry Compliance Officer, I have worked with sales leaders to push forward an appropriate compliance program within the structure of the sales teams. I supported the sales teams via training sessions, creating monthly reports to keep sales leaders in touch with important compliance issues and conversations with sales leaders throughout each month. Being a highly analytical compliance professional, I have used my experience along with my investigative skills to ascertain if registered representatives were being compliant. I have exception report processes taking advantage of new technology. Changes in the exception reporting process helped save time and energies and allowed for easy management reporting while ensuring critical sales issues were being monitored.Areas of Expertise:Regulatory Compliance | Auditing | Regulatory Requirements | Regulatory Audits | Compliance Monitoring | Compliance Management | Exception Reports | Surveillance | Procedure Testing | Strong Investigative Skills | Team Leader | Compliance Activity Monitoring | Training | Policies & Procedures | Interpersonal Communication | Federal Securities Laws | Management | Process Design | Problem Solving | Decision Making | Regulatory Examinations | Code of Conduct | Presentation Skills | Oral and Written Communication Skills | Policy Writing | Internal Audit | Operational Risk | FINRA Securities Licensed | Microsoft Office Suite | Excel | Excel Pivot Tables | Word | PowerPoint | FIS/SunGard’s OnBoard, ProServe and Protegent Systems | Stone River Registration Software | Thompson Reuter’s Clear Investigation Software | Wealthscape Software | Broker-Dealer Compliance | Risk Management | Financial Services | Due Diligence | Legal Writing | Legal Compliance | Finance | Banking | Team Leadership | Financial Analysis | Investments | Mutual Funds | Equities | Private Securities | Hedge Funds | Alternative Investments | Accredited Investors | FINRA |