I am a Certified FINRA Series 7 & Series 24 License Holder Senior Compliance Analyst offering nearly 5 years of experience in the Financial Services Industry. I am skilled at conducting complex reviews in search of unusual market activity for evidence of violations of applicable federal securities laws and FINRA rules and regulations. I possess high-level proficiency in identifying, researching and analyzing data independently; conducting lead and/or solo investigations of moderate complexity with moderate supervision; properly documenting and clearly presenting examination findings.• Manage the development, implementation, and testing of compliance policies as well as aiding with compliance examinations, surveillance, and training.• Confer with senior staff and subject matter experts for guidance on complex issues.• Present investigative findings (orally and in writing) to management, and other constituents in an organized, concise and timely fashion.• Working knowledge of relevant FINRA/SEC rules and regulations.• Demonstrated experience relating to all inherent industry risks (i.e., Operational, Fraud and Deception, Money Laundering, Accuracy of Regulatory Capital, Credit, Market, Liquidity, and/or Segregation of Client Assets).