Legal Compliance Executive Resume Sample | Resume My Career

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Legal/Compliance Executive

Consummate Legal/Compliance executive with 19 years of Broker/Dealer experience and 14 years Compliance expertise. Progressive leadership experiences have created a passion for surpassing business objectives via combination of world class risk compliance and superlative operational initiatives. Seek a forward-thinking company that can utilize extensive expertise and strong Legal/Compliance dynamism and articulate communications skills. Dedicated to maintaining a reputation built on quality, service, and uncompromising ethics.

CORE STRENGTHS
> Clearing Firms
> Investment Advisors
> Traders/Brokers
> Legal/Management
> Regulatory Compliance
> Agencies/Audits
> Compliance Policies
> FINRA Arbitrator
> Series 7,9,10,14,24,53,63,66

PROFESSIONAL EXPERIENCE
Executive Director Legal/Compliance ? Instinet LLC, NY, NY 2010 ? Present
*Instinet acquired Torc Investments & Research
* Provide Derivative Trading compliance methodologies, FINCEN requests and AML reviews.
* Accept Blue Sheet requests from various regulators, regulatory inquiries from various entities, review of FINRA report cards, e-mail and correspondence review, risk compliance, and other projects requested by the Chief Compliance Officer of Instinet LLC.
* Manage heavy interaction with Legal, Management, Traders, Brokers, Investment Advisors, and Clearing firms.

Chief Compliance & AML Officer ? Torc Investments & Research LLC NY, NY 2007 ? 2010
* Provided critical review of trade blotters from clearing firms , and oversaw all issues that arose with clearing firms. Managed all FINRA CRD submissions and updates, and any Regulatory inquiries or requests reported.
* As AML Compliance officer, received 314a FINCEN requests and checked same for any potential matches.
* As Senior Compliance Officer, responded to all compliance issues that ensured adherence to the rules and regulations of the securities industry.

IDB Capital Corp., NY, NY 2006 ? 2007
Chief Compliance Officer/AML Compliance Officer NASD Broker/Dealer / SEC registered IA
* Provided strict enforcement of all NASD and SEC rules and regulations and PATRIOT ACT compliance that included KYC/CIP/BSA/AML, Regulatory filings, Web CRD, continuing education, training, regulatory liaison, e-mail surveillance, operational issues, and coordination with other business units at the bank(IDB Bank).
* Strategically set up a SEC registered Investment Advisor and a separate NASD Broker/ Dealer for an affiliated entity.

Ehrenkrantz King Nussbaum Inc., Garden City, NY 2004 ? 2006
Director of Compliance/Chief Compliance Officer of a full service Broker Dealer trading in stocks, bonds and options.
* Oversaw in-house proprietary research department along with Investment Banking activities.
* Conducted all continuing education seminars and scheduled regulatory continuing education testing initiatives.
* Held weekly compliance meetings with 100 Registered Representatives.
* Served as AML Compliance Officer and FINCEN contact liaison.
* Oversaw all NASD reporting and regulatory inquiries, and responded to questions from representatives on compliance issues and operational inquiries.

Marwood Group Asset Management LLC, NY, NY 2004
Director of Compliance/Chief Compliance Officer
* Served as CCO of NASD registered Broker Dealer and a NY State registered Investment Advisor specializing in Healthcare research and Healthcare related investment banking.
Compliance Director ? Ehrenkrantz King Nussbaum Inc. Garden City, NY 2003 ? 2004
* Compliance Director of full service Broker Dealer trading in stocks, bonds and options, and oversaw in-house proprietary research department along with Investment Banking activities.
(347) 398-5417 ?tnoneill98@aol.com
Director of Compliance/Chief Compliance Officer ? Murphy & Durieu., NY, NY 2001 ? 2003
* Murphy & Durieu is a broker?s broker serving institutional and brokerage firms around the country, with two retail branches serving individual investors. Provided retail surveillance, corporate compliance, and reported to the SROs complaint resolution division.
Professional Experience continued?
* Performed updates to compliance/procedure manuals, annual reviews, and continuing education.
* Supervised other compliance professionals in their daily functions.
Retail Branch Office Compliance Manager ? Gruntal & Co., New York, NY 2000 ? 2001
* Performed daily review of the following: all e-mail, faxes, and outgoing mail and trade blotters.
* Assisted and directed more than 50 registered representatives in all aspects of compliance and related operational policies.
* Liaison between senior management, compliance, and legal departments.
* Reviewed various daily and monthly reports that pertained to mutual fund, options, and activity within the branch office.

Compliance Officer ? Liberty Securities Corp., Purchase, NY 1997 ? 2000
* Performed daily review of trade blotters for general securities, mutual funds and municipal bond activities, and signed off, as a principal of the firm.
* Reviewed employee and related accounts for regulatory compliance, and reviewed and approved new account applications along with the necessary paperwork i.e.: trust documents, IRA applications, corporate account documents, etc.
* Served as the advertising principal?s back-up in her absence, and assisted legal department with regulatory inquiries, and internal and external audits.
* Performed outside branch audits and continuing education per regulatory requirements.
* In the absence of the compliance manager oversaw all day-to-day activities within the compliance department. Assisted in the design and implementation of computerized daily trade review blotter that is still in use today.

Early Career:
Registered Representative ? JB Oxford & Co., New York, NY ? 1996
Investment Consultant ? Northeast Brokerage/First Albany Corp., New Rochelle, NY ? 1994 ? 1996
Registered Representative ? Thomas James Associates., NY, NY ? 1992 ? 1994

Military Career:
United States Army Honorable Discharge 1984 ? Military Intelligence Analyst, Airborne, CEWI

EDUCATION
Manhattan College Bronx, NY

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