Lisa Ann Calandra

*** *** **** ***., *********, New Jersey 07071 ( aco99g@r.postjobfree.com (

914-***-****

Senior Compliance Officer

Securities Licensing ( Regulatory Affairs ( Privacy and Information

Security

Ethical compliance leader with international experience and expertise in

directing complex projects designed to enhance overall regulatory

compliance operations. Specialized knowledge in financial regulations, risk

management and securities. Fosters collaboration with regulatory agencies

and senior leadership to ensure continuous, enterprise-wide adherence to

regulatory requirements.

Compliance Monitoring

Internal Controls Testing

Operational Risk Assessment

Surveillance

Audit Management

Regulatory Agency Relations

Relevant Experience

LL Innovative Media Management; Lyndhurst, NJ

Social Media Coordinator (2014 - Present)

Hired part time to create, manage, monitor and enhance social media

presence on behalf of small business clients while ensuring legal

compliance of all posts across multiple platforms. Perform surveillance and

monitoring of social media activity while building engagement and expanding

fans/followers.

. Raised awareness among clients' target audience, resulting in higher

attendance at special events and increased participation in

promotions.

UBS Financial Services Inc.; Weehawken, NJ (2002 - 2014)

Associate Director, Sr. Regulatory Analyst of the Legal Department (2013 -

2014)

Handled regulatory & client complaint reviews and conducted determination &

coding of client complaint allegations. Requested to facilitate the

resolution of FA regulatory litigation. Drafted client acknowledgment / 401

letters and completed FINRA Reporting.

. Leveraged trusted network of contacts in several state offices to

expedite the resolution of financial advisor issues as liaison between

legal department and state officials.

. Uncovered fraudulent activity, enabling management to institute

prevention measures for future fraud attempts.

Associate Director of Compliance, Compliance Officer/Manager (2002 - 2013)

Served as lead partner on Financial Advisor Integration Team for Compliance

to facilitate the review and resolution of regulatory advisory, annual

audits and disciplinary notices. Supervised branch retail registration

division/wealth management advisory group and oversaw non-retail

registration, product and trading areas (FINRA, NYSE, NFA).

. Coordinated the execution of annual state renewals, while continuously

cultivating exceptional relationships with State regulators.

. Trained compliance off-shore team and selected to conduct presentations

on UBS registration requirements for all onsite new hires and

facilitated the succession of valued team members.

. Conducted research on new financial advisors, each with assets valued at

$2M - $5M to ensure seamless transition of clientele into UBS portfolio.

. Entrusted to control all areas of FINRA CE for all UBS Broker Dealers

Firms from 2005 to 2007.

. Developed all mortgage licensing requirements and responsibilities,

encompassing National Mortgage Licensing System regulations.

. Appointed to manage international sector in London, UK, driving launch

of tracking global registration system.

Early Career

Held multiple roles at Independent Financial Marketing Group, Inc. as Sr.

Registration Coordinator and Institutional Services Coordinator. Fleet

Bank: Sr. Client Service & Sales Representative. Retail & Garment

Industries, Management.

Education & Licensures

Bachelor of Science in Marketing, Sales & Management ( Fashion Institute of

Technology / State University of NY

FINRA Series 6 (December 1999) ( Series 63 (June 2000)

Technical Skills

Microsoft Office Applications, FINRA Web CRD System, FINRA.org, NMLS,

Domestic State Regulated Systems & FSA, Infinite 21, TGRS and

HRI/PeopleSoft, Lexidia, Consultworks, Adobe Photoshop, Publisher, Social

media management and strategies.

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