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Financial Analyst

Gaithersburg, Maryland, 20877, United States
May 24, 2010

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Nelli Levin

***** **** ***** ***, #*** . Gaithersburg, MD . 20877

Ph: 917-***-**** . E-mail:

Financial Regulatory Compliance Analyst with more than 12 years of

experience in financial markets, SEC and FINRA rules and regulations,

accounting, and compliance looking for a job in Financial, Accounting or

Compliance field.


.Financial Needs Analysis .Financial Trading .AML/


.Securities Industry Knowledge .Financial Modeling/ Analysis/

Hedging .Tax Preparation

.SEC/ FINRA Auditing and Compliance .P&L Management .Web


.Risk Assessment .SEC Filings (10-Q, 10-K) .Budget


.Equity and Options Trading .Knowledge of SOX

.Financial Stmt

Professional Experience:

Financial Industry Regulatory Authority (FINRA) f/n/a NASD

April 2006 - March 2010

Office of Fraud Detection and Market Intelligence

Rockville, MD

Regulatory Analyst/ Investigator

. Produced numerous referral reports containing potential federal

securities violations, and referred over $60 million of suspect

trading activity in individual retail accounts to the Securities and

Exchange Commission

. Uncovered numerous illegal trading rings engaged in pump-and-dump

schemes totaling over $35 million by matching up purchase and sales

activity through customer account statements, trade blotters, delivery

of stock certificates, and wire transfers

. Assessed companies' financials, including asset base, current and

historical revenues, private placement offerings and liquidity;

articulated reasons why the company's financial, revenue or share

price projections are not justifiable in referral reports to the

Securities Exchange Commission

. Interviewed numerous officers and directors of publicly traded

companies to determine the authenticity of public statements by the


. Interfaced with peers and management to strategize investigative and

surveillance operation

Office of NYSE Amex Regulation New

York, NY

Regulatory Analyst

. Conducted formal investigations of the specialist's manipulation,

regulation SHO threshold securities, preferential treatment and marked

on the close for options

. Presented evidence and wrote comprehensive Closing Investigation

Memoranda detailing investigative findings, subsequently recommending

appropriate course of action to SEC enforcement attorneys, NYSE AMEX

and other national exchanges/ SROs

. Uncovered numerous NYSE AMEX and FINRA violations by conducting

Electronic Communications Reviews and surveillance on the floor of

NYSE AMEX and FINRA member firms including electronic mail and

telephone records reviews

Bear Wagner Specialists LLC (Full service broker-dealer firm)

April 2001 - March 2006

Compliance Analyst New

York, NY

. Prepared regulatory responses to NYSE, NYSE AMEX, FINRA, CBOE and

other regulatory bodies including retrieval and analysis of trading


. Assisted Chief Compliance Officer and General Counsel in preparation

and updating written supervisory procedures

. Monitored the broker dealer's compliance with anti money laundering


. Supervised daily trading activity of team of eight traders on the

firm's options trading desk, with ultimate accountability for the

hedging of 100+ equity securities by performing real-time surveillance

. Monitored, ensured compliance with NYSE and NYSE AMEX rules and

regulation, and approved incoming/outgoing trader correspondence and


. Ensured all trades are booked properly and provided ongoing follow up

with traders and clearing firm to communicate the specific of each


. Delivered presentations and educational sessions to the firm's

specialists and registered representatives

Assistant Controller August

1998 - April 2001

. Prepared monthly, quarterly and annual financial statements; assisted

Controller in analysis and preparation of all financial reports

including FOCUS report, budgets and financial plans

. Generated monthly close of financial statements; coordinated and

consolidated monthly and quarterly expense tracking and forecasting;

prepared and processed journal entries and maintained general ledger

utilizing Excel

. Created databases and spreadsheets for daily and monthly P&L reports

for equities and options; prepared and submitted quarterly commission

reports; performed bank account reconciliations

. Interacted with internal and external auditors, clearing firm, and

vendors, resolving inquiries and applying skills to neutralize

potentially damaging situations

KPMG LLP Jan 1998 -

May 1998

Tax Compliance Technician New

York, NY

. Prepared 1040 Individual and 1041 Trust/Estate tax returns

utilizing FastTax computer application

. Processed extensions of filing deadlines for 1040 and 1041 tax


. Reviewed financial records such as income statements and

documentation of expenditures in order to determine forms needed to

prepare tax returns

. Used all appropriate adjustments, deductions, and credits to keep

clients' taxes to a minimum

. Accepted and analyzed reviewer's feedback to compiled tax returns


Pace University, New York, NY

Bachelor Business Administration, Accounting


Series 7, General Securities Registered Representative


Proficient use of MS Office Word and PowerPoint, strong MS Excel modeling

skills, Bloomberg, LexisNexis, Web CRD

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