Sales Representative Marketing

Olayinka Odeniran

Home: 240-***-**** Email:

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

education

**** ****** ********** *.*. English

Boston, MA

CERTIFICATES/SKILLS

Series 7,24,66

Strong understanding of SEC and FINRA regulatory rules and

regulations

Strong leadership and management skills; ability to meet demanding

deadline

Strong analytical, detail, organization, written and communications

skills

Excellent interpersonal relations skills; able to relate well with

people from diverse backgrounds & cultures

Effective problem solver; able to prioritize and manage heavy

workflow

Experience in MS Office, Excel, PowerPoint, and Windows

Professional Experience

07/2006-Present ING Greenbelt, MD

Sr. Compliance Consultant-

Sole Compliance Officer for the entire Mid Atlantic Region

Design and conduct regulatory audits

Identify compliance risks and manage them by providing advice,

monitoring and test the firm's policies and procedures

Conduct training to keep both the supervisors and registered

representatives abreast of the regulatory changes and related

matters

Work with management team to address regulatory issues

Ensure that systems and Anti-Money Laundering (AML)processes meet

the requirements of regulators

Review and monitor employee and customer trading activities to

identify and mitigate regulatory risks

Hold relevant compliance meetings to discuss and mandate regulatory

requirements

Present remedial solutions to address the audit issue and safeguard

from future findings

Conduct analytical research of company database to ensure adequate

maintenance of information

Approve sales and advertisements along with reviewing email

communication

Involve in the hiring and termination process of reps

Design and streamline the transition of compliance meetings to

online programs accessible by all representatives

Design, monitor and conduct new representative orientation programs

Develop and implement programs and procedures to comply with

regulatory or policy rule changes

06/2005-06/2006 Capital Financial Group (H. BECK INC.) Bethesda,

MD

Compliance Officer/ Investment Advisory Specialist-

Performed periodic compliance monitoring/testing of the policies,

and procedures governing investment advisory, broker-dealer, and

transfer agency functions

Responsible for updating ADV part I & II, and NFA annual

requirements

Reviewed and approve Investment Advisory Activities, and all Fee

Based programs

Assisted in regulatory examinations, and coordinating Continuing

Education firm and Regulatory elements

Reviewed product and marketing advertising materials to ensure

compliance with regulatory requirements

Provided guidance and directions for brokerage operation/back

office review

Responsible for investigating investor/ regulatory complaints, and

inquiries

Conducted office inspection to examine and evaluate customer and

broker accounts to determine the existence of improper activity in

the accounts

09/2003-04/2005 Global Securities Information(GSI)

Washington, DC

Sr. Data Analyst-

Supervised, and trained junior analysts

Analyzing Mergers & Acquisition deals, and Registrations

Performed Due Diligence background on companies and individuals by

working closely with NASD, NFA, and NYSE securities violation team.

Assisted attorneys in obtaining and filing SEC (EDGAR) documents,

such as: annual reports and quarterly financial reports (10K &

10Q), and registrations forms for both domestic and foreign

companies.

08/2002-08/2003 American Express Financial Advisors

Vienna, VA

Financial Advisor-

Analyzed and reviewed investments, evaluated mutual funds,

securities and insurance products.

Monitor and maintain existing client portfolio to insure that the

original investment objectives were achieved, while servicing to

new clients

08/2001-08/2002 Stone Street Capital

Bethesda, MD

Inside Account Executive-

Obtained the Certificate of Achievement Award for assisting in the

development of the Market Research Department for the Lottery

Division, from the ground up

07/2000-08/2001 State Street Research & Management Co Boston,

MA

Investment Sales Representative-

Promoted to Preferred Services Team after 4 months.

Worked in conjunction with Outside/ Inside Wholesalers and

Marketing Team to proactively market, and solicit broker dealer

communities with ordering materials and products Increased

Marketing Results from 25% to 55% by working with sales force and

marketing team to launch special marketing promotions.

Volunteer

Personal Math Tutor (Current)

FLOC- Math Tutor DC Youth (2006)

YMCA of Greater Boston (1999-2000)

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