In my role as Operations Administrator and Compliance Officer, I adeptly managed the daily administrative functions essential to the smooth operation of the organization. With a keen eye for detail and exceptional organizational skills, I oversaw various operational tasks, including Compliance scheduling, accounting, and Payroll management. Through effective communication and collaboration with cross-functional teams, I implemented streamlined processes that optimized efficiency and productivity. Additionally, my proficiency in utilizing relevant software tools enabled me to maintain accurate records and generate insightful reports to support strategic decision-making. My commitment to excellence and proactive approach to problem-solving consistently contributed to the overall success of the operations department. As a Compliance Officer, I am responsible for ensuring that the organization operated within legal and regulatory guidelines. This involved conducting regular audits and assessments to identify areas of non-compliance and developing policies and procedures to mitigate risks. I maintained an up-to-date understanding of relevant laws and regulations and communicated changes effectively throughout the organization. Additionally, I provided training to employees on compliance-related matters and implemented monitoring systems to track adherence to policies. As a Marketing supervisor, I oversaw the marketing materials and web development providing guidance, support and feedback under Compliance regulations for a successful implementation.

FINRA S65 Candidate