With over two decades of experience in financial compliance and audit, I, Susan Crane, have carved a niche in enhancing compliance frameworks and mitigating risks across various financial institutions. My expertise lies in the intricate supervision and surveillance of registered representative activities, having managed hundreds of such representatives to align with stringent standards, procedures, and manuals. My efforts have consistently ensured adherence to the multifaceted rules and regulations across all 50 states, meeting FINRA and SEC requirements scrupulously.Renowned for my ability to apply in-depth regulatory and compliance knowledge, I have been instrumental in limiting firms' exposure to liabilities. My career is marked by a trajectory of increasing responsibility, where my skills in risk analysis, comprehensive auditing, and effective staff training have played pivotal roles. My proficiency in utilizing tools like Excel, LPL applications, Salesforce, and Prosurv, combined with a keen eye for identifying risks and trends, has enabled me to implement change management strategies effectively.As a collaborative leader, I pride myself on my adaptability, resilience, and ability to build positive, lasting relationships. My strategic insights, proactive approach, and high emotional intelligence have been key in fostering inclusive, compliant-focused environments. I excel in deadline-driven settings, bringing forth a resourceful and analytical mindset, coupled with a commitment to learning and growth.LICENSES:FINRA licenses: Series 7, 63, 66, 24, 51Accident & Health, Life, Variable Life & Variable AnnuitiesMN Residential Real Estate License
Listed skills include Operational Risk Management, Regulatory Compliance, Financial Services, Strategic Planning, and 9 others.
