Chief Compliance Officer Resume

PROFESSIONAL EXPERIENCE:

Confidential

Chief Compliance Officer

Responsibilities:

Identified potential areas of compliance vulnerability and risk; provided guidance on regulatory requirements affecting the firm to develop and implement corrective action plans accordingly
Reviewed and approved high frequency trading strategy
Liased with Corretora Souza Barros regarding procedural company developments

Confidential

Chief Compliance Officer Broker Dealer

Responsibilities:

Corporate liaison in communications and governmental examinations between Broker Dealer, Investment Advisory and FINRA, SEC and State of Florida
Maintain and update CRD and IARD contact systems
Point of contact employee for FinCEN inquires
Reviewed and approved emails, instant messages, marketing material, internal and external customer communications
Performed internal audit reviews of the Office of Supervisory Jurisdiction (OSJ) and International Branches
Proactive for all employees in the areas of rules, regulations, systems and code of conduct
Reviewed Trace Reporting (TRACE) and Order AuditTrail System (OATS)

Confidential

Deputy Director of Compliance Trust Banking

Responsibilities:

Responsible for Domestic and International Trust Company’s representative offices located in Miami FL, Houston and San Antonio TX, Antigua and Bogotá Colombia.
Reviewed all new customer account applications, which consisted of documentation authentication, OFAC AML, and signature verification for approval.

Confidential

Chief Compliance Officer

Responsibilities:

Developed a business plan and budgets, on a yearly basis, for presentation to the Board of Directors.
Negotiated insurance, communication and technology contracts on behalf of the firm. Supervised all aspects of the Broker Dealer including, but not limited to, discipline, hiring, terminating, promoting employees and providing overall leadership.