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Skills

  • Team management
  • Team building
  • Project organization
  • FINRA report review
  • Exception trade processing
  • Human resources knowledge
  • Staff management
  • Economic pattern and market trend interpretation
  • Business development expertise
  • Communications

Work Experiences

  • Coordinated with cross-functional teams to investigate complex, multi-leg trades, resulting in a 32% reduction in processing time.
  • Used strategic risk management techniques to safeguard company assets.
  • Improved customer retention by 16% by resolving escalated customer issues.
  • Collaborated effectively with compliance teams to analyze suspicious trading activity, minimizing legal exposure.
  • Compared initiative applications to outline specifications in order to approve, reject, or suggest changes to files.
  • Demonstrated excellent communication.
  • Detected rogue trading behavior.
  • Met deadlines by proactively managing individual and team tasks and implementing program processes.
  • Used positive motivational techniques to engage employees in business processes.
  • Authored process documentation for trade reviews, facilitating the onboarding and training of new hire analysts.

Summaries

  • Trade Review Principal is a multi-talented Trade Review Principal who is consistently rewarded for planning and operational improvements.
  • Addressed potential regulatory issues proactively.
  • Achieved operational efficiency gains of 55%.
  • Comprehensive experience dealing with insider trading violations, contributing to 25% reductions in suspicious cases across multiple sectors.
  • To meet and exceed business financial goals, successfully optimizes frameworks and cultivates cohesive teams.
  • Problem-solving and creative decision-making are skills that a logical Trade Review Principal possesses.
  • Clear understanding of cross-functional collaboration and stakeholder engagement as well as project management training.
  • Trade Review Principal is a poised and professional Trade Review Principal who is capable of informing clients about banking products and services and recommending the best options to meet their needs.
  • Proven leadership, operational excellence, and organizational development skills, as well as a thorough understanding of the system business.
  • Accomplished Trade Review Principal specializing in implementing automation tools to streamline exception trade processes, reducing review time by 25%.

Accomplishments

  • Worked with compliance and legal teams to resolve 6 potential trade violations, ensuring alignment with program regulations.
  • Successfully led testing and deployment of a new version of program, leading to a 41% reduction in trade discrepancies.
  • Resolved product issue through consumer testing.
  • Coordinated daily surveillance activities across 4 jurisdictions, ensuring compliance with diverse regulatory frameworks.
  • Provided risk assessment dashboards to stakeholders, leading to informed decision-making and a 78% improvement in risk mitigation.
  • Revised trade surveillance alert system filters, reducing false positives by 17% and resulting in more accurate flagging of suspicious activities.
  • Monitored over 10 daily trades for potential rule violations, consistently maintaining a 84% compliance rate.
  • Implemented a Salesforce-based trade monitoring tool, increasing real-time surveillance coverage by 51% across all market segments.
  • Improved trade review efficiency by creating a custom audit template that cut review time by 30%.
  • Enhanced inter-departmental communication by introducing a new trade review summary report, decreasing information lag by 18%.

Affiliations

  • National Association of Social Workers
  • Corporate Finance Institute (CFI®) – Financial Analyst Member
  • Association for Financial Professionals (AFP)
  • Financial Industry Regulatory Authority (FINRA)
  • Society of Women Engineers
  • Association for Trade Compliance Practice Improvement (ATCPI)
  • Lions Club
  • Chartered Financial Analyst (CFA) Institute – Member
  • Certified Anti-Money Laundering Specialist (CAMS)
  • CPA License (Insert State) – Certified Public Accountant

Certifications

  • Certified Public Accountant (CPA)
  • Certified Fraud Examiner (CFE)
  • Investment Banking and Advisory Certification
  • Financial Industry Regulatory Authority (FINRA) Series 57 - Securities Trader License
  • Institute of Chartered Financial Analysts (ICFA) Certification
  • Project Management Professional (PMP)
  • Advanced Anti-Financial Crime (AAFC) Certification
  • Chartered Alternative Investment Analyst (CAIA) Certification
  • Certified in the Governance of Enterprise IT (CGEIT)
  • Certified Information Security Manager (CISM)

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