Marketing Officer

KRISTINE M. GILLARD

Goose Creek, South Carolina *9445

440-***-****

*******@*******.***

OBJECTIVE: Further my career in the Securities Industry with a

concentration in Privacy, Fraud and Anti-Money Laundering

(AML)

LICENSES: FINRA Series 7, 24, 66, Florida and Ohio Life,

Health, &

Annuity Insurance

EDUCATION: Bachelor of Business Administration

Kent State University, Kent, Ohio

Major: Marketing

Cumulative GPA: 3.308

Marketing GPA: 3.375

COMPUTER Windows, Excel, PowerPoint, Microsoft Office, NetXPro360,

SKILLS: Actimize, SunGard, Caesar, AWD, Accurint,

Penley, FinCEN,

OFAC, Vision, Albridge, Crystal

Reports, Power Point

WORK

EXPERIENCE: Intermediate Regulatory Compliance Officer, Privacy Officer and

AML Designee,

Transamerica Financial Advisors, Inc., St. Petersburg, FL

Review breakpoints, B shares, 72T reports, Mutual Fund

Switch reports, AML Daily Detail Report in NetXPro360.

Developed Privacy Officer Role. Research TFA Privacy cases,

report to Corporate, investigate suspicious activity,

fraud, identity theft, work with legal and corporate on the

cases. Yearly review of TFA Red Flag Rule Program, provide

Privacy/AML training to non registered TFA home office

employees. Attend weekly and monthly Privacy Calls and

International Privacy Calls. Assist and backup TFA AML

Officer, work on foreign clients' paperwork, CIP Pass/Fail,

help file SARs, process OFAC and FinCEN databases for

possible matches

June 2006-August 2013

Registered CSA, UBS Financial Services, Beachwood, Ohio

Open institutional accounts, handle DVP/COD trade problems,

municipal bond and option trading, DWAC, in constant

communication with traders and corporation personal

May 2004-December 2005

Investment Assistant, Banc One Securities, Cleveland, Ohio

Open investment accounts, process trades, manage customers

questions, concerns, and transactions, put together letters

to customers for Financial Advisors, went over any

marketing materials, seminars or brochures before

forwarding to compliance

September 2002-May 2004

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