Detailed oriented professional adept at analyzing and implementing regulations, supervisory requirements, policies and procedures. Extremely comfortable working in a fast paced environment either individually or on a team. Takes great pride in building relationships on all levels of organizations.

1. John P. Callahan
2317 Avon Road
Ardmore, PA 19003
(215) 518-7959
jpcallahan24@yahoo.com
SUMMARY OF QUALIFICATIONS
10 years compliance experience.
Experienced in analyzing and implementing regulations, supervisory requirements, policies and
procedures.
Proven ability to drive firm initiatives and complete them on time.
Comfortable working independently and as part of team.
Strong interpersonal communication, public speaking and coaching skills developed over years
in a supervisory role.
Leads with courage and conviction, through candid communication and respect for the
individual.
PROFESSIONAL EXPERIENCE
MERRILL LYNCH, Wayne, PA 2007 – 2016
Administrative / Risk Manager
Reviewed and analyzed supervision tools for overall trends and patterns to minimize regulatory,
financial and reputational risk.
Maintained firm’s book and records as required by Financial Industry Regulatory Authority and
Security and Exchange Commission.
Lead firm mandate program with a 99% completed on time over 8 years.
Completed suitability reviews for trading activity as required by industry rules and regulations.
Monitored incoming and outgoing client correspondence.
Reviewed, responded, and assisted in resolution of customer complaints.
Participated in branch audits and ensured implementation of audit recommendations.
Spearheaded transition to industry leading investment platform helping to increase revenue by
$24MM for complex.
Responsible citizenship: Organized office participation in Reading Stars, a literacy program to boost
reading abilities of students. Chair of the United Way Campaign for office leading to a 95%
participation rate.
PNC INVESTMENTS, Philadelphia, PA 2003 - 2007
Administrative Manager
Responsible for Risk Management over territory of 50 Financial Consultants and licensed
professionals.
Organized new Office of Supervisory Jurisdiction as required by Financial Industry Regulatory
Authority (FINRA).
Maintained firm’s book and records as required by Financial Industry Regulatory Authority and
Security and Exchange Commission.
Resolved compliance inquiries and paperwork deficiencies.

2. Created training program for new financial consultants in the region.
EDWARD JONES INVESTMENTS, Ambler, PA
2002
Investment Representative
Responsible for providing investment solutions.
Focused on opening a new territory for firm.
Foot canvassed to build a database of prospects.
Small businesses and individual investor focus.
COGENT COMMUNICATIONS, Philadelphia, PA 2000 – 2001
Account Executive
Responsible for sales and pre-sale of fiber optic internet connectivity.
All activity in an undeveloped market.
Consistently surpassed monthly quota.
Built database of prospects through foot canvassing and cold calling.
MAGPAGE INTERNET SERVICES, Yorklyn, DE 2000
Sales Representative
Responsible for sales of internet connectivity, web site hosting and consultation services.
Successfully generated revenue in an undeveloped territory.
Developed extensive sales database of key target accounts and decision makers.
Identified opportunities and recommended solutions in both written and verbal format.
Consistently surpassed monthly quotas.
PENNSYLVANIA LEGISLATIVE DISTRICT OFFICE, Holland, PA 1992 - 1999
Director
Researched and presented on various state issues, laws and regulations as need.
Attended meetings as proxy for Representative.
Met with government agency representatives, local officials and constituents.
Received all official correspondences, draft responses, deliver speeches.
Opened 20 new constituent cases per day – 90% same day closing rate.
Elected Office
Board of Auditors, elected public office, Northampton Township, PA 1994-1999
Chairman 1995-1996
Secretary 1994, 1997-1999
EDUCATION
University of Pittsburgh, Pittsburgh, PA
Bachelor of Arts, Political Science, 1991