John W. Williams has over 15 years of experience in the fields of communications, film production, financial compliance auditing, and education. He has a proven track record of managing complex projects, enforcing compliance requirements, and building strong professional relationships. Currently he works as an executive producer for a film production company, coordinating all aspects of production including legal and financial compliance. He also has extensive experience conducting audits and ensuring regulatory adherence for financial services firms. Williams holds a bachelor's degree in communications and is pursuing additional financial industry certifications.

1. John W. Williams
2018 Rundell Pl. jww1942@gmail.com
Austin, Texas 78704 512-779-6502
OBJECTIVE
Driven individual with exemplary work ethic, communication skills and strong sense of commitment
seeks a challenging opportunity with a dynamic organization enabling the development of both
personal and professional growth while contributing to the success of the organization.
WORK EXPERIENCE
• Executive Producer May 2014 – Present
House Cat Films
• Coordinate with director and producers to develop high quality commercials and films.
• Maintain and manage compliance requirements for set permits and liability insurance.
• Uphold copyright compliance with ASCAP.
• Disseminate compliance requirements to producers, director and engineers for all
projects.
• Coordinate front-end production requirements to expedite the production process.
• Enforce all compliance requirements for each project and location.
• Develop and maintain positive relationships with all personnel.
• Independent Communications Consultant January 2009 - Present
• Attract and retain loyal clients by building reputation, knowledge and accountability.
• Organize and participate in promotions for a variety of local entertainment acts.
• Develop marketing promotions for merchandise and events.
• Meet with key clients to develop a deeper understanding of their goals and objectives.
• Establish excellent rapport with coworkers and clients.
• Serve as a liaison to enhance communication between clients and producers.
• Plan and conduct meetings between clients, producers and engineers.
• Compliance Auditor February 2006-December 2008
National Financial Partners
• Maintained ongoing relationships with firm principals to create a consistent and coherent
line of communication regarding firm and principal compliance with NFPSI
requirements.
• Evaluated document flow process to maintain system and control effectiveness through
the application of accounting, auditing and knowledge of best business practices.
• Informed firm principals of compliance requirements mandated by SEC, FINRA and
NFPSI to assist principals in elevated levels of compliance.
• Participated in the preparation and execution of audits, which included identifying scope,
objective, potential risks.
• Used persuasive communication to adjust principals’ views of compliance as well as
educate regarding NFPSI’s required books and records.
• Provided in field responses to questions from principals and representatives
• Performed OSJ,Non-OSJ, Satellite and Bank Audits.
• Organized efficiently all delegated audits throughout the fiscal year including
sequencing, organizing and performing approximately 80 audits per year.
• Traveled to registered representatives’ locations to perform compliance audits.

2. • Appointment Specialist June 2005-January 2006
National Financial Partners
• Managed requests for individual appointments with various insurance carriers
• Handled and processed variable appointment requests for NFP registered representatives
• Maintained and kept current licenses for NFP registered representatives
• Kept current appointments for NFP registered representatives
• Updated the Caesar database,adding confirmed appointments for active agents
• Substitute Teacher September 2002- May 2004
Austin Independent School District
• Taught in diverse school settings, including kindergarten through twelfth grade
classrooms
• Through interactive education, became a friend and mentor to many of the children at
BMS
• Mentor and guide for Special Education students
• Vineyard Manager Janurary1999-February 2001
Canna Cellars
• Managed upkeep of the vineyard and ranch
• Ran the livestock and cattle
• Dealt with general guest requests
SKILLS
• Current knowledge of FINRA and SEC laws and regulations
• Proficient in Microsoft Office: Excel, Word, and Outlook.
• Excellent time management skills, extreme attention to detail and customer service.
• Application of logical and creative problem solving.
• Self-motivated and comfortable working independently.
• Exceptional presentation and negotiation skills.
• Dynamic, results-oriented problem solver.
• Skilled at evaluating options and generating solutions.
• Thrive in a team environment and work well with others.
• Empathetic listener and persuasive speaker.
LICENSE AND CERTIFICATION
• Group 1 Life and Health Insurance
• Currently pursuing Series 7, 24, 66
EDUCATION
• St. Edwards University May 2002
Austin, Texas
B.A. in Communications; specialization in marketing, advertising and public relations
REFERENCES
Available upon request