Director of Auditing Resume:

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Objective:

To obtain a position of auditing head utilizing training and experienced that gained from previous jobs.

Experience:

Compliance Director/Audit Director, D.E. Frey and Company Inc. – Denver, CO, May-2001 to Present

• Direct supervisor of the independent registered representatives and staff regarding, advertising and sales literature review and supervision
• Supervised registered independent advisors business, models, audits, and reporting.
• Responsible for having a comprehensive understanding of the obligations and requirements set forth with the NASD, SEC regulatory agencies.
• Manage the firm’s brokerage sales staff for 47 branches, supervised 80+ sales representatives.
• Directly responsible for the hiring and transition of the new registered representatives
• Responsible for the oversight of the Independent Registered Investment Advisory business for the firm
• Provided training for the new representatives.
• Consulted with independent representatives regarding branch office procedures and compliance guidance.
• Managed the licensing and continuing education department.
• Branch office oversight for OSJ and Non-OSJ offices
• Designed and implemented procedures for direct supervision

Manager-Auditing, CAI Securities, Inc. – Lakewood, CO, July-1996 to April-2001

• Served as Compliance Director for start-up broker dealer that services 80 independent, registered representatives in 40 branch offices.
• Developed and implemented all compliance audits and procedures.
• Directly managed the registration department including U-4/U-5 filings, review of blue-sky laws, and handling of specific registration requirements for Registered Investment Advisors.
• Ongoing responsibilities also included review of daily trades, approval and filing of all marketing materials with appropriate regulators, and review/approval of new registered representatives.
• Conducted all branch audits and served as the primary contact of all arbitration issues.
• During assignments, Round Hill received no warning or violations for the SEC/NASD.
• All potential arbitration claims handled without formal arbitration action.

Education:

• Financial Institute of Maryland, Specialty in Finance and Accounting 1995
• Universidad de Autonoma, Mexico City, Mexico BA, International Relationships and Economics 1993

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