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Compliance Officer

Jersey City, NJ


Work Experience

Compliance Officer

Horizon Point Wealth Management, Livingston, NJ

Jan 2009Dec 2009

  • Responsible for drafting policies and procedures for the Code of Ethics.
  • Ensure that all records are properly classified, retained and disposed of in accordance to regulations.
  • Review and maintain all trade, correspondence, complaint and advertisement logs.
  • Assist RIA in preparing for audits and reviews.

Investment Sales Assistant

Greenberg & Rapp, East Hanover, NJ

Jan 2008Oct 2008

  • Prepare asset summaries and presentation pieces for clients.
  • Record daily transaction in trade logs.
  • Process ACATs and monitor to completion of transfers.
  • Assist clients with questions regarding their accounts. Liaise with customer service centers to fulfill requests on their behalf.

Compliance Analyst

The Investment Center, Bridgewater, NJ

Feb 2006Jun 2006

  • Daily review and resolution of break points for Pershing and direct customers.
  • Daily e-mail surveillance and review of electronic advertisements.
  • Review of all outside business trade placed by reps.
  • Running and reviewing monthly active account reports, sending activity letters and documenting responses.
  • Provide principal approval for all new brokerage, direct and insurance accounts.
  • Assist branch examiners with the preparation of audits.

Customer Service Representative

AXA Advisors, New York, NY

Jan 2005Feb 2006

  • Provide clients and brokers with detailed information about their accounts.
  • Research and resolve any problems for clients and brokers in an accurate and timely manner.
  • Advise clients and brokers on legal requirements and paper work used for account maintenance.
  • Review and resolve complaint letter from customer and reps.

Sr. Trading Representative

MetLife Securities, Iselin, NJ

Jan 2003Jan 2005

  • Ability to resolve any trade issues and answer questions about company trading procedures.
  • Take mutual fund and equity orders from registered reps, execute appropriately and reporting executions.
  • Ensure trading procedures are properly executed and compliance policies are followed. Work in close contact with Operation, Compliance, and the National Sales Force.
  • Maintain current knowledge of regulatory trends and changes.

Sr. Commission's Clerk
  • In charge of successful merger between Nathan & Lewis Associates fixed Insurance Dept. to Walnut Street
Securities Commission dept.
  • Learning every aspect of the department including depositing checks from carriers, entering rates into the system, and physically cutting checks for the reps.
  • Resolving all fixed commission inquiries and drafting new procedures manuals.
  • Training the manager that will be taking over the different aspects of the department.
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