ROBERT SMITH

Product Compliance Specialist

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Consistently recognized for quality work, demonstrated time management, and

collaboration skills Proven ability to quickly adapt and conform to shifting priorities,
demands and timelines Capable of learning new systems quickly, balance multiple
projects, and act as primary owner of individual projects while not compromising
quality of work Proficient in effectively communicating with all levels of firm
organization.

EXPERIENCE
Product Compliance Specialist
ABC Corporation - MARCH 2013 – NOVEMBER 2014
 Assisted CCO and Compliance team with compliance-related tasks,
with planning, developing and implementing projects of some
complexity-appropriate regulatory, disclosures and other filings
through CRD.
 Retrieved, reviewed, and analyzed TRACE, OATS, and MSRB reports
daily.
 Reviewed and updated outside business activities and outside
brokerage accounts.
 Implemented and analyzed quarterly and year end attestations.
 Reviewed and researched daily AML (Anti-money laundering) reports.
 Processed Client Information Profile (CIP) verifications using Lexis-
Nexus/Bridger Insight program.
 Assisted with internal and regulatory audit inquiries and preparation.

Compliance Specialist
ABC Corporation - 2012 – 2013

 Prepared stores for grand openings.

 Built and arranged fixtures and stands as specified by a plan-o-gram.
 Received and stocked inventory.
 Used computers to organize and locate inventory, and operated
spreadsheet and word processing software.
 Worked independently, without supervision.
 Interviewed and worked closely with vendors to obtain and develop
desired products.
 ReceptionistGreeted each customer with friendly eye contact
Demonstrated use and care of merchandise.Answered questions
regarding the store and its merchandise.Greeted customers and
ascertained customers needs.Recommended merchandise based on
customer needs..

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EDUCATION
 AA in Health Administration - (University of Phoenix)

SKILLS
Microsoft Office Suite, FINRA Web CRD, Lexis Nexis/Bridger Insight, Nexus/Nexcom,
Basecamp Project Management Software, SuranceBay Insurance Appointments
Processing/Tracking Software, National Financial Services, E-File Cabinet, NIPR.