John R. Stutz *** Lockerbie Lane (

Wilmette, IL *0091

708-***-**** (

aco53y@r.postjobfree.com

...Senior Compliance Officer in a Broker/Dealer Investment Advisor

Environment

Success-driven financial services professional equipped with 20+ years of

experience directing operations, administration, and compliance activities

for multiple offices with up to 200 representatives. Holds numerous NASD,

NYSE, and insurance licenses. Offers proven abilities in identifying and

solving problems, making sound judgments under pressure, and coordinating

multiple concurrent projects to achieve accurate, timely results. Displays

an outstanding work ethic and complete discretion in handling

confidential/sensitive materials. Excels as a mentor to junior staff,

developing their knowledge of a broad range of products and services.

Proficient with Microsoft Windows, Word, and Excel

Highlights

. Recruited to serve as director of network office supervision for a

financial/insurance/investment services agency that continuously set the

benchmark for all other agencies.

. Conducted comprehensive annual audits of four regional branch offices'

books and records as well as annual sales practice reviews of 200

financial representatives' client files.

. Improved adherence to a company's compliance procedures by initiating

ongoing compliance training for both new and seasoned financial

representatives as well as surprise annual reviews of all regional branch

offices, a practice that was adopted by other agencies.

Core Responsibilities

. Reviewed and approved the day-to-day activities of 200 financial

representatives and their assistants, including advertising, sales

literature, seminar materials, correspondence, trading activity, new

accounts, 529 plans, incoming mail, outside business activities, and

various exception reports.

. Oversaw anti-money laundering (AML), contract licensing/registration

(CLR), and continuing education (CE) divisions. Served as a liaison to

self-regulatory organizations (SROs).

. Reviewed and approved the trading activity, purchase and sale (P&S),

registrations, licensing, advertising, sales literature, and

correspondence of 50 brokers in three offices. Responded to regulatory

exams, SRO inquiries, and complaints.

. Oversaw the daily activities of 20 operations employees. Managed new

accounts, transfers, and customer service.

. Managed operations/clearance efforts for option market makers and

customers. Supervised 16 operations personnel; monitored P&S, margins,

and stock loans. Prepared financial and regulatory reports (Focus 1 and

2).

Career Path

FinraExamsTutor.com. Group and individual tutoring for Finra exams

preparation Presently

Director of Network Office Supervision, Northwestern Mutual Financial

Network/Investment Services 2003 to 2011

Branch Compliance Manager, First Union/Wachovia Securities (formerly Everen

Securities) 1998 to 2003

Branch Administrative/Compliance Manager, First Chicago NBD, Investment

Services 1990 to 1998

Chicago Board Options Exchange, Goldberg Securities/Options Prior to 1990

Credentials

DePaul University, College of Commerce

4; Registered Options 24: General Securities 63: Uniform Securities

Principal Principal State Law

7; General Securities 27: Financial/Operations 66: Uniform Combined

Registered Rep. Principal State Law

8: General Securities 53: Municipal Principal Variable Annuity

Sales Supervisor License

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