Work history
Director of Surveillance
tags:
aml analysis & investigation
• surveillance & compliance
• securities laws & regulations
• investment company act of 1940
• risk management
• capital markets
• best practices implementations
How would you describe your time at Gunn Allen Financial?
Hired, mentored, and directed seven surveillance analysts.Led regional supervisors and branch office managers to detect and prevent NASD and SEC violations. Coordinated monitoring and analysis of designated compliance sectors: Market, Accounts and Trade surveillance, Sales Practices Surveillance; Investment Company Act of 1940 surveillance: Employee Accounts Review, Watch and Restricted List supervision. Served as AML Deputy Officer ensuring conformance with FinCEN, NCTC, and USA Patriot Act of 2001 through daily analysis of new foreign accounts, OFAC cross-checking, and institution of Restricted Countries List. Investigated, evaluated, and filed SARs for high risk client accounts. Contributed to WSP amendments. Responded to NASD and SEC audits at corporate and branch levels. Delivered presentations at Executive Committee's weekly meetings, annual compliance meetings and GAF Annual National Conference.
KEY ACHIEVEMENTS:
* Reduced NASD and SEC violations by 78% within one year by initiating counter measures, leading team execution, and educating independent brokers in NASD and SEC regulations.
* Fueled firm's expansion from 225 to 895 independent brokers in four years by monitoring equity, derivatives, and fixed income transactions with $200M+ in annual revenue.
* Ensured compliance with federally mandated regulations by establishing and implementing firm's CIP, KYC and AML programs.
* Automated surveillance review and analysis by leading and engaging branch manager participation in implementation of EAI electronic surveillance system.
* Enhanced firm capability to review and analyze compliance and anti-money laundering exceptions and flags through implementation of SunGard Protegent Surveillance system.
* Led firm to successfully pass four NASD and two SEC audits in designated sectors.... 
Financial Advisor
tags:
asset management
• securities laws & regulations
• capital markets
• market research & analysis
How would you describe your time at Ameriprice?
Acquired and serviced client accounts through relationship cultivation, client consultations, and strategic financial planning. Coordinated and facilitated financial education seminars for local businesses and communities.
KEY ACHIEVEMENTS:
* Achieved 82% sales conversion rate through strong relationship development and in-person client meetings.
* Increased client base by approximately 50% by conducting seminars to educate ethnic communities on economy and stock market.
* Leveraged knowledge of multiple cultures and languages, as well as international business practices to penetrate market niches....
Financial Advisor
tags:
risk management
• new market penetration
• international business develo...
• best practices implementations
• asset management
How would you describe your time at Peregrine Financials and Se...?
Built and managed investment portfolio through client education, consultation, and investment recommendations based on financial objectives. Forged strong client-broker relationships, conducted investment seminars, and managed mini hedge fund.
KEY ACHIEVEMENTS:
* Grew assets under management from zero to $1.5M with 45% increase in client base during period of rapid decline in stock market by acquiring account with largest East European investment club in United States.
* Generated 60% increase in client base by creating television commercial targeting ethnic community and aired on Channel 34....
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