Human Resources Officer
Resume:
AVA R. WOLFE
Brooklyn, New York 11201
*****@***.***
Over 25 years of compliance experience:
Forefront Advisory, LLC June 2010 - September 2010
Compliance Consultant
New
York, New York
Compliance Department
In conjunction with the General Counsel and Chief Compliance Officer,
prepared FINRA New Member Application for broker-dealer
function as well as FINRA Continuing Member Application for
establishment of a proprietary trading desk, responsible for
registration of Futures subsidiary and associated persons with
regulatory authorities, review of advertising and marketing
documents, personal securities accounts and trading activity
and development of firm element Continuing Education Program.
Lee-Nolan Associates, LLC
April 2008 - January 2009
Agency Supervisory Officer
New York, New York
Compliance Department
Supervised new brokerage account activity including review of new
account documentation, suitability and disclosure
requirements; monitored daily trade activity and e-mail
correspondence; supervised and participated in the inspection
of client files and detached Agent Offices; assisted in the
administration of customer complaints and advertising review;
developed and administered Firm Element Continuing Education
Program; participated in the processing of regulatory
inquiries and examinations.
EquiLend Holdings LLC
March 2006 - March 2008
Corporate Secretary/Chief Compliance Officer
New York, New York
Compliance, New York Office
Served as Corporate Secretary/Chief Compliance Officer of both the US
NASD broker-dealer and FSA UK subsidiary and supervised the
Corporate Compliance Programs by functioning as an independent
and objective body that reviews and evaluates compliance
issues within both organizations, ensured that the Board of
Directors, management and employees were in compliance with
the rules and regulations of regulatory agencies, that the
policies and procedures based on those rules and regulations
are being followed and that the behavior of the organizations
and their personnel met ethical standards of conduct.
National Bank of Canada and its subsidiaries: July 1994 - March
2006
New York, New York
Putnam Lovell NBF Securities Inc.
January
2003 - March 2006
Compliance Officer, Assistant Corporate Secretary
Corporate Secretary/Compliance, New York Office
Responsible for the registration function of two domestic securities
subsidiaries of a foreign broker-dealer including federal and
state filing requirements, acted as Secretary at Board of
Director meetings, developed policies and procedures
concerning new federal legislation, serviced various business
units by developing mandatory corporate documentation.
NBC International (USA) Ltd. April 1998 - January 2003
Compliance Officer, Assistant Corporate Secretary
Compliance, New York Office
Developed policies and procedures for broker-dealer operations,
including Anti-Money Laundering Program, to ensure compliance
with rules and regulations of the governing regulatory
agencies. Supervised regulatory examinations, coordinated
legal and compliance documentation for new business
activities, monitored all aspects of brokerage transactions
and submission of firm and personnel registrations with the
National Association of Securities Dealers and State
securities administrations.
National Bank of Canada July 1994 - April 1998
Senior Advisor
Human Resources, US Division
Responsible for the compliance of consumer and mortgage loans with
Federal Reserve Board regulations as well as the development,
administration and supervision of employee benefit plans.
New York Stock Exchange February 1992 - June 1994
Testing Specialist New York, New York
Member Firm Regulation Division
Participated in and coordinated activities related to the
development, maintenance, and administration of the NYSE and
cooperative qualification examinations and relevant materials.
Attended meetings with other Self-Regulatory Organizations,
industry advisory and review committees, and professional
associations to enhance scope of examinations.
The East New York Savings Bank July 1988 - May 1990
Compliance Officer New York, New York
Legal Department
Developed and supervised training program for Bank Secrecy Act
compliance, monitored currency transaction reports and daily
cash reports, and assisted in the implementation of various
bank regulatory requirements.
Chase Manhattan Bank, N.A. May 1986 - June 1988
Compliance Officer New York, New York
Regulatory Compliance Department
Developed guidelines for bank and non-bank subsidiaries
incorporating the rules and regulations of the Comptroller of
the Currency, the Federal Reserve Board, the Federal Deposit
Insurance Corporation, the Securities and Exchange Commission,
the Commodities Futures Trading Commission, the Municipal
Securities Rulemaking Board as well as the applicable state
laws.
Manufacturers Hanover Trust Company August 1984 - May 1986
Compliance Officer New York, New York
Compliance Department
Developed policies and procedures for the administration of
the rules and regulations of the Securities and Exchange
Commission, the National Association of Securities Dealers,
Inc. and the Municipal Securities Rulemaking Board to ensure
compliance by the various subsidiaries and departments of the
bank.
EDUCATION Brooklyn Law School Brooklyn, New York
Juris Doctor, 1984
Fairleigh Dickinson University Teaneck, New Jersey
Bachelor of Science, 1981
Finance and Economics
Dean's List 1979 - 1981
Member of the Omega Epsilon Honor Society
Member New York State Bar
Qualifications: Series 7, 24, 53 and 66
Contact this candidate