1. MARIA DJ KEISER
 15026 Pastura Pass  San Antonio,TX 78023
ala.india@hotmail.com
 210.695.5460  915.861.9600
Page 1 of 2
COMPLIANCE ANALYST
FINRA REGISTERED
AREAS OF EXPERTISE
Analyze Customer and Firm Risk
Educate and Train Registered
Representatives and Staff
Leadership/Mentoring
Researching, Identifying and Resolving
Complex Problem
Planning for Audits and Reports
Project Development
QUALIFICATIONS PROFILE
Proactive and goal-oriented Compliance Analyst, with over 30 + years of
administrative and operational management experience, combined with proven
leadership and problem solving skills as reflected in orchestrating early stage and
high-end projects.Display keen understandingofbusiness priorities and processes.
Thrive in a fast-paced and demanding work environment, leading change
initiatives that enhance business workflow as well as implementing revenue-
producing activities that optimize profitability. Well-known for incomparable
success in developingsystems,processes,and procedures tostreamlineoperations,
increase revenues, and enhance profit performance. Possess outstanding
communication skills, vital in fostering a positive team environment and in
collaborating with peers to resolve escalations and business problems.
PROFESSIONAL EXPERIENCE
CONTRACT 06/2015-09/2015
SENSUS MANAGEMENTGROUP  SAN ANTONIO,TX
 Work closely with the firm’s Chief Compliance Officer in transferring two Registered Advisors
 Input data to prepare documents for the client’s signatures
 Submitted documents to the main office for the transfer of all assets in client accounts
 Reviewed clients account to insure transfer of clients’ assets were accurate
COMPLIANCE ADVISOR/USAA CONTRACT 09/2014-12/2014
LUMEN LEGAL SAN ANTONIO,TX
 Input new data to test business adherence to compliance procedures when reviewing related
documentation and identifying gaps in coverage.
 Identifying potential violations of FINRA and SEC rules and regulations through risks and controls
entered.
 Entered compliance assessment report information for Retail Investment Management Compliance.
COMPLIANCE ANALYST 01/2010-09/2014
INVESTMENT PROFESSIONALINC.SAN ANTONIO,TX
 Ability to quickly and effectively identify customer and firm risk.
 Conduct suitability reviews on new account applications, new and direct business, annuities, fixed
income, alternative investments, mutual funds, supporting documentation and paperwork.
 Review daily trade blotter in accordance to suitability issues covering areas of mutual fund switch,
blue-sky laws, solicitation, churning, low price securities and any other but not limited to, in ensuring
compliance with all internal procedures and industry regulations.
 Approved marketing and correspondence ensuring compliance with all internal procedures and
applicable industry regulations Implemented licensing, registration and audit procedures.
OSJ (Office of Supervisory Jurisdictions 06/2008-07/2009
HILL COUNTRY WEALTH SAN ANTONIO TX
 Supervise six registered representatives and office staff. (March 2009 – July 2009)

2. MARIA DJ KEISER
 15026 Pastura Pass  San Antonio,TX 78023
ala.india@hotmail.com
 210.695.5460  915.861.9600
Page 2 of 2
 Assisted branch manager and supervised office staff. (April 2008-2009)
 Risk and control issues, maintain branch files for audits.
 Hired and trained representative’s assistants.
 Supervised customer accounts and had active client contact.
 Maintained licensing, registration and continuing education files.
 Review daily trade blotter covering suitability of mutual fund switch, blue-sky laws and solicitation
issues.
OPERATIONS/ADMINISTRATIVE MANAGER 04/2006-07/2008
FIRST MID-AMERICA/NATIONS FINANCIAL SAN ANTONIO TX
 Assisted branch manager and three registered financial representatives and their clients.
 Managed the branch office, duties which included issuing and receiving checks, fed wires and stock
certificates, journals, opening accounts and resolving client issues.
OPERATIONS/ADMINISTRATIVEMANAGER 02/2005-04/2006
FALCON INVESTMENTS SAN ANTONIO TX
 Assisted branch manager and three registered financial representatives and their clients.
 Managed the branch office, duties which included issuing and receiving checks, fed wires and stock
certificates, journals, opening accounts and resolving client issues.
OPERATIONS/ADMINISTRATIVEMANAGER 05/1992-01/2005
WELLS FARGO SAN ANTONIO TX/EL PASO TX
 Assisted branch manager and his clients.
 Managed the branch office and hired, trained and supervise representative’s assistants and the staff.
 Risk and control issues, maintain branch files for audits.
 Supervised customer accounts and customer service client contact.
 Maintained licensing, registration and continuing education files.
 Review daily trade blotter covering suitability of mutual fund switch, blue-sky laws and solicitation
issues.
 Managed the branch office, duties which included issuing and receiving checks, fed wires and stock
certificates, journals, opening accounts and resolving client issues.
●Series 7, Series 63 – 1986 ●Series 9/10 – 1997 ●Series 24 – 2007
Microsoft Office Suite (Word, Outlook and Excel)
Windows XP  Windows Vista  Windows 7/10
Spanish Read and Write
REGISTRATION
TECHNICAL ACUMEN
LANGUAGE