This individual has over 10 years of experience in regulatory compliance and database management roles at FINRA, where they train staff, manage priorities, and make recommendations based on FINRA rules. They have a Bachelor's degree in International Business and an Associate's degree in Business. Their career has focused on areas such as exam waivers, advertising review, and human resources assistance through contract work. They possess strong research, communication, and leadership skills.

1. Professional Summary: I am an experienced coordinator, analyst, and database manager who makes
appropriate recommendations for various requests based on FINRA rules, trains and mentors staff, and
successfully manages multiple priorities with a senior level of responsibility. In addition to an eagerness to
learn and be helpful to FINRA, I have a solid educational background and am proficient at communicating
professionally internally and externally, whether orally or in writing.
EDUCATION
University of Maryland College Park, MD Graduation: May 2008
Robert H. Smith School of Business
Degree: Bachelor of Science, International Business
Montgomery College Rockville, MD Graduation: May
2006
Montgomery Scholars Honors Program
Degree: Associate of Arts, Business
WORK HISTORY
Financial Industry Regulatory Authority (FINRA) Rockville, MD
3/2008-Present
RegulatoryReview&Disclosure Department
DisclosureReviewAnalyst
 Receives oral and written requests from internal and external customers for details and explanations on section-
specific systems and processes.
 Assists with conducting research in order to respond to customer requests; determining appropriate sources and
types of data to obtain.
 Usesbasic statistical and quantitative techniques to analyze data researched.
 Assists in preparing a clear, descriptive, saleable format in which to presentanalysis results.
 Communicates to customers the end product of analysesperformed.
 Creates material for reports, charts, graphs, and correspondence.
 Assists in reviewing, documenting, developing, enhancing, and supporting the section’s systems and processes.
 Participates in maintaining the proper functioning of related systems.
 Participates in the investigation and recommendation of technologies to improve system andprocess efficiency.
Testing&ContinuingEducationDepartment
ExamWaiversCoordinator (Promoted)
 Serve in Senior Role as Primary Contact for FINRA Qualification Exam Waivers Program.
 Mentor and Train Junior Staff, as Well as Other Departments That Need To Understand Our Processes.
 Assist with conducting research in order to respond to customer requests; determining appropriate
sources and types of data to obtain.
 Use basic statistical and quantitative techniques to analyze data.
 Assist in preparing a clear, descriptive, saleable format in which to present analysis results.
 Communicate to customers the end product of analyses performed.
 Create material for reports, charts, graphs, and correspondence.
 Manage the Timely and Efficient Turn Around of Requests and Cases through Planning and
Prioritization.
 Conduct Thorough Reviews of Applicants Seeking a Waiver of any of FINRA Securities Industry
Qualification Exams.
 Communicate via Phone and Email with Member Firms in order to Request Additional Information or
Documentation Pertaining to Requests.
 Coordinate with Other Regulators and Institutions, Such as the NYSE, CBOE, and CFA Institute as well
as Other FINRA Departments, such as Enforcement and the Office of General Counsel Regarding a
Variety of Waiver Related Situations.

2.  Responsible for Developing and Updating Department Procedures and FAQs for Distribution to Staff.
 Assist in reviewing, documenting, developing, enhancing, and supporting the section’s systems and
processes.
 Participate in maintaining the proper functioning of related systems.
 Participate in the investigation and recommendation of technologies to improve system and process
efficiency.
 Work experience revolves around thefollowing rules FINRAis responsible for: FINRA Rule 1070 Qualification
Examinations And Waiver OfRequirements - NYSE Rule 344 Research Analysts And Supervisory Analysts - FINRA
Rule 1031 Registration Requirements - FINRA Rule 1032 Categories Of RepresentativeRegistration -FINRA Rule
1050 Registration OfResearch Analysts -FINRA Rule 1000 Member Application andAssociated Person
Registration - FINRARule 9600 Procedures For Exemptions
Qualifications Exam Coordinator III (Selected for Permanent Position)
 Managed Preparation of Time and Contents Sensitive Materials For FINRA Qualifications Exam Committee
Meetings.
 Balanced Competing Priorities, Which Include My Routine Daily Responsibilities, As Well As Ensuring All
Materials Were Reviewed and Accounted For in Order To Meet all FINRA Committee Meeting Deadlines.
 Reviewed, Evaluated, and Logged Incoming Complaints Regarding FINRA Exam Content Using CRT.
 Entered Confidential Test Bank Items/Questions into Proctor Database.
 Participated In Cross-Training With Exam Waiver Coordinators.
 Assisted in Editing and Verifying that all New Items and Outlines Were Concurrent to Style Guide for FINRA
Exam Modules.
 Assisted Director with Various Projects Relating To Waivers and Qualifications.
 Work experience revolves around thefollowing rules FINRAis responsible for: Know Your Customer,
CommunicationsWith the Public
AdvertisingRegulationDepartment
Advertising Analyst Administrative Assistant (Contract Position via Kelly Services)
 Used FINRA WEB-ADV to Log and Track Member Firm Advertising Documents for Analysts to Review.
 Formatted and Mailed Letters to Firms.
HumanResourcesDepartment
Human Resource Assistant (Short term Assignment via Kelly Services)
 Utilized FINRA Recruitmax Database to Evaluate and Select Potential Candidates, and Performed Candidate
Follow-up.
 Drafted Letter Templates for Various Audiences for HR to Use.
 Provided Suggestions on How to Improve ERP Program & Career Fair Results.
MILO/TheGolfe Rockville,MD 2/2006-
2/2008
Program Coordinator and Assistant to President/CEO
 Organized and Utilized Multiple Systems and Database to Manage Accounts and Market Events.
The ArkStore Rockville, MD 5/2007-
10/2007
Store Sales Representative/Co-Manager
 Purchased, Received, and Priced Inventory using QuickBooks Point of Sale; Ran End of Day Reports.
Soft Skills: Leadership, Analysis, Research, Conflict Resolution, Critical Thinking, Communication, Time
Management, Integrity
Computer Skills: Microsoft Office Applications, WebCRD, Proctor, FWS, Internet Research, WEB-ADV,
Recruitmax Database, CRT, CRM, Quick Books Point of Sale, Macromedia Contribute Server for Web
Publishing

3. References are available upon request.