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Independent Compliance consulting for small broker-dealer firms in Houston, TX.
Responsible for architecture, implementation, management, and enforcement of an independent broker-dealer compliance program.
Education and training of employees on industry regulations, standards, and best practices.
Coordinated and managed legal and regulatory inquiries and examinations.
Supervised and trained support staff in operations and sales.
Coordinated and managed special projects; assisted compliance officer and financial operations manager with special projects.
Jack of all trades.
Secretarial and receptionist duties.
Lots of paperwork, creation of sales presentations and reports.
Administrative and clerical support on a contract basis.
In-depth internet research and information evaluation to improve search engine results for leading internet search engine companies.
Interpret, confirm, and enter accurate data using a web-based data entry interface.
Transcribe voice data quickly and accurately to "train" voice recognition software programs.
General transcription for a variety of clients.