Brian J Murphy

**** ******** *****, *******, ** *3760

H: 607-***-**** C: 607-***-****

abj2qf@r.postjobfree.com

Professional Profile

Motivated, detail-oriented financial professional with over 20+ years

experience in investment and financial services focusing on compliance and

operations management. Well versed in both broker dealer and investment

advisory platforms. Experienced with a wide variety of regulatory

requirements including SEC, FINRA, AML and OFAC. Proven record of

developing, implementing and enforcing policies and procedures. Strong

analytical, interpersonal and computer skills.

Licenses and Certifications

Series 7, 24 & 63, Life, Accident & Health licenses; Certified Financial

Planner

Professional Experience

Compliance Officer

10/2005-6/30/2009

Columbia Ridge Capital Management Johnson City NY

. Instrumental in establishing business start-up including merger with new

business partner. Developed policies and procedures for compliance,

operations, and business continuity.

. Responsible for all U-4, U-5 and SEC filings.

. Point person for all contact with regulators and/or auditors.

Consistently received high marks for compliance program and initiatives.

. Conducted periodic internal audits of various aspects of firm's

activities and recommended appropriate actions to senior management.

. Filled in for operations staff when needed to provide trading and client

service functions.

. Handled complex client service issues that were escalated from advisors

and/or staff.

. Reviewed preparation of quarterly client reports and bills for accuracy

and adherence to regulatory requirements.

. Implemented and oversaw cross training of operational staff which

resulted in increased efficiencies in workflow.

Manager, Investment Division 4/1995-

10/2005

The Bay Ridge Group Endwell NY

. Managed all aspects of firm's investment department, including 5-9

registered representatives and 3-5 staff. Ensured all work was conducted

in a timely and ethical manner.

. Functioned as broker-dealer branch manager as well as Advisory compliance

officer.

. Provided on-going training and support on operational and compliance

issues.

. Responsible for compliance oversight of satellite offices.

. Helped develop service manual to guide staff in day-to-day activities.

. Assisted in implementation of Client Relationship Management system for

investment division use.

. Streamlined client reporting function to ensure consistent delivery

timeframes.

Brian J Murphy

2915 Twilight Drive, Endwell, NY 13760

H: 607-***-**** C: 607-***-****

abj2qf@r.postjobfree.com

Operations and Compliance Manager 9/1987-3/1995

Lesko Financial Services/Lesko Securities

Binghamton NY

. Responsible for all back office support to registered representatives

including client service, trading, registration and compliance.

. Implemented wire order trading system that increased speed and accuracy

of mutual fund trades.

. Developed compliance training program in response to regulatory changes.

. Compiled financial information for regulatory and net capital reporting.

Education

American College (CFP pre-licensing)

Pace University - Concentration in Finance

NOTE: Open to relocation dependant upon job description and compensation.

Family residence in Yonkers is available.

Contact this candidate