Nelli Levin
***** **** ***** ***, #*** . Gaithersburg, MD . 20877
Ph: 917-***-**** . E-mail: abmrg8@r.postjobfree.com
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.
SUMMARY OF QUALIFICATIONS
.Financial Needs Analysis .Financial Trading .AML/
BSA
.Securities Industry Knowledge .Financial Modeling/ Analysis/
Hedging .Tax Preparation
.SEC/ FINRA Auditing and Compliance .P&L Management .Web
CRD/ IARD
.Risk Assessment .SEC Filings (10-Q, 10-K) .Budget
Development
.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
company
. 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
information
. Assisted Chief Compliance Officer and General Counsel in preparation
and updating written supervisory procedures
. Monitored the broker dealer's compliance with anti money laundering
obligations
. 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
transaction
. 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
returns
. 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
EDUCATION:
Pace University, New York, NY
Bachelor Business Administration, Accounting
LICENSES
Series 7, General Securities Registered Representative
COMPUTER SKILLS
Proficient use of MS Office Word and PowerPoint, strong MS Excel modeling
skills, Bloomberg, LexisNexis, Web CRD