Experienced and driven Compliance Officer with a proven track record of helping to lead companies by ensuring they are functioning in complete compliance with all national and international rules and regulations. I possess excellent communication skills, allowing for the cultivation of positive and mutually beneficial business relationships, while keeping strong ethics at the forefront of my goals. I bring forth a superior knowledge of compliance laws and regulations, as well as standard business law.
- Handled regulatory inquiries from SEC, FINRA, CFTC, CME, NFA and foreign regulators.
- Researched, interpreted, and advised the company regarding compliance with laws and regulations.
- Wrote instructions for various departments on how to interpret and implement new guidelines.
- Developed remedial action plans when needed if audit findings called for action.