Director of Auditing Resume

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Objective:

Seeking for career as head auditing and utilize my knowledge in the field of accounts for the achieving organizational goal.

Experience:

Director-Audit, Securities America Inc., May-2003 to Present

  • Conduct Regional OSJ, Branch Office, Bank, and Registered Investment Advisor compliance audits for the firm.
  • Communicating with the Chief Compliance Officer and Regional Supervision Director to strengthen the supervision procedures based on regulatory requirements.
  • Interview branch managers for mandatory annual compliance meetings addressing compliance and securities related topics.
  • Promote and demonstrate new computer technology and other various products offered through the home office.
  • Review of daily, weekly, and monthly sales, activity reports assisting the Compliance Examiner II.

Manager-Audit and Compliance, General Agency, Denver, April-1998 to April-2003

  • Responsible for hiring and managing all or the agencies associated person staff.
  • Training and Transitions of new representatives;
  • Independent Registered Investment Advisory Business, training and auditing;
  • Coordinate and document the implementation of the continuing education program;
  • Arrange and present the annual compliance meeting;
  • Recruit, conduct, and document new agent orientations and Company web training;
  • Develop additional compliance training programs and written material as necessary;

Education:

Associates of degree in Business Administration, Concentration in Auditing and Accounting, Monroe Community College- Rochester,
NY, 1998

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