Sales Director
Resume:
Robert William Ruffing
Columbus, OH 43220
Cell: 804-***-**** Home: 614-***-**** Office: 614-***-****
Work Experience
Citigroup, Global Transaction Services July 2008-March 2009
VP, Fund Compliance Columbus, OH
Manage team of compliance specialists and senior specialists to administer compliance
surveillance for Investment Adviser clients
Work with client Chief Compliance Officers(CCOs) to provide documentation and assist
with SEC and other regulatory exams
Interpret language within client SAI and prospectus documents to develop compliance
rules within surveillance systems
Travel to client locations and provide training and updates on SEC and other regulations
Write and maintain departmental policies and procedures
Friedman, Billings, Ramsey and Co.
VP, Capital Markets Compliance Arlington, VA February 2006 – July 2008
Advise and counsel Capital Markets business units on regulatory and compliance issues
Develop, implement and test policies and procedures and the firm’s supervisory system
and controls
Participate in the process to review and approve new business or systems and contribute
to working groups after approval is granted
Delegate daily, weekly and monthly reviews to compliance analysts and evaluate any
findings
Assist in Anti-Money Laundering reviews and with AML responses to regulatory
agencies
Wachovia Securities
Sr. Equity Compliance Officer Richmond, VA March 2004 – February2006
Advise equity trading personnel on regulatory and compliance risk issues, drafting
policies and procedures and maintaining trading desk plans of supervision
Assist and coordinate with the firms regulatory response department to analyze and
gather data to respond to SEC, NASD and NYSE exams and inquiries
Work with firm control room by monitoring and distributing the watch and restricted lists
Review daily, weekly and monthly exception reports and analyze data for presentation to
firm management
Sanford C. Bernstein & Co., LLC
Compliance Officer New York, NY June 2001 – March 2004
Duties included surveillance of the firm’s trading desks (Institutional, Market Making
and Agency), sales/trading practices, research regulations, money laundering and various
other compliance projects
Assisted with regulatory oversight of registered Investment Advisor and obligations
under Investment Company Act of 1940
Coordinated the clearance of employee trading for the trading and research departments
Assisted Director of Compliance with implementation and maintenance of policies and
procedures
Assisted Director of Compliance with coordination and responses to SEC, NASD and
NYSE inquiries and examinations
Gruntal and Co., LLC
Capital Markets Compliance, Compliance Analyst New York, NY July 2000 - June 2001
Duties included assisting in the oversight of the NASDAQ over-the-counter
trading desk
Assisted Director of Capital Markets Compliance with policies and procedures
of the firm
Acted as liaison for the firm with respect to SROs and the SEC
Reviewed daily BRASS exception reports to monitor for possible SEC and NASD rules
violations and interacted with the firm’s head of trading to resolve issues
Acted as interim CROP (Compliance Registered Options Principal) for the firm
NASD Regulation, Inc.
Market Regulation, Order Handling Group
Regulatory Analyst Washington, DC December 1999 - July 2000
Analyzed exception reports for potential violations of NASD and SEC Order
Handling Rules
Compiled and organized information from a variety of sources to be used in
the development of investigations of potential violative activity by NASD
member firms
Prepared written reports of investigative findings to NASD management and
legal department to determine regulatory action
Education
Allegheny College; Meadville, PA
Graduation Date: May 10, 1998
Bachelors of Arts in Economics; Minor in English
Computer Experience: Internet, Windows, Excel, PowerPoint, Citrix, Fidessa(Royal Blue) and
BRASS trading, BETA/Thompson, Charles River, NYFIX, Aquin(MIG21)
Miscellaneous
Series 7, 24, 55 and 4 licensed
2 -time NCAA Div III Golf All-American Award winner
1997 Div III, District II Golf Player of the Year
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