About Financial Services Compliance Professional with strong experience working for a leading investment bank, broker/dealer, and registered investment adviser. Expertise in FINRA and SEC compliance rules and regulations, development and implementation of in-house compliance policies and procedures, and management of operations and transition procedures, providing high level client service. Proven abilities in applying new concepts quickly and accurately, while working autonomously and with a team. Detail-focused with strong analytical and research skills and proven inter-departmental dexterity. FINRA Registrations: Series 7, 24, and 66.