Management Sales Representative
Resume:
Lisa Ann Calandra
*** *** **** ***., *********, New Jersey 07071 ( ***********@*******.*** (
Senior Compliance Officer
Securities Licensing ( Regulatory Affairs ( Privacy and Information
Security
Ethical compliance leader with international experience and expertise in
directing complex projects designed to enhance overall regulatory
compliance operations. Specialized knowledge in financial regulations, risk
management and securities. Fosters collaboration with regulatory agencies
and senior leadership to ensure continuous, enterprise-wide adherence to
regulatory requirements.
Compliance Monitoring
Internal Controls Testing
Operational Risk Assessment
Surveillance
Audit Management
Regulatory Agency Relations
Relevant Experience
LL Innovative Media Management; Lyndhurst, NJ
Social Media Coordinator (2014 - Present)
Hired part time to create, manage, monitor and enhance social media
presence on behalf of small business clients while ensuring legal
compliance of all posts across multiple platforms. Perform surveillance and
monitoring of social media activity while building engagement and expanding
fans/followers.
. Raised awareness among clients' target audience, resulting in higher
attendance at special events and increased participation in
promotions.
UBS Financial Services Inc.; Weehawken, NJ (2002 - 2014)
Associate Director, Sr. Regulatory Analyst of the Legal Department (2013 -
2014)
Handled regulatory & client complaint reviews and conducted determination &
coding of client complaint allegations. Requested to facilitate the
resolution of FA regulatory litigation. Drafted client acknowledgment / 401
letters and completed FINRA Reporting.
. Leveraged trusted network of contacts in several state offices to
expedite the resolution of financial advisor issues as liaison between
legal department and state officials.
. Uncovered fraudulent activity, enabling management to institute
prevention measures for future fraud attempts.
Associate Director of Compliance, Compliance Officer/Manager (2002 - 2013)
Served as lead partner on Financial Advisor Integration Team for Compliance
to facilitate the review and resolution of regulatory advisory, annual
audits and disciplinary notices. Supervised branch retail registration
division/wealth management advisory group and oversaw non-retail
registration, product and trading areas (FINRA, NYSE, NFA).
. Coordinated the execution of annual state renewals, while continuously
cultivating exceptional relationships with State regulators.
. Trained compliance off-shore team and selected to conduct presentations
on UBS registration requirements for all onsite new hires and
facilitated the succession of valued team members.
. Conducted research on new financial advisors, each with assets valued at
$2M - $5M to ensure seamless transition of clientele into UBS portfolio.
. Entrusted to control all areas of FINRA CE for all UBS Broker Dealers
Firms from 2005 to 2007.
. Developed all mortgage licensing requirements and responsibilities,
encompassing National Mortgage Licensing System regulations.
. Appointed to manage international sector in London, UK, driving launch
of tracking global registration system.
Early Career
Held multiple roles at Independent Financial Marketing Group, Inc. as Sr.
Registration Coordinator and Institutional Services Coordinator. Fleet
Bank: Sr. Client Service & Sales Representative. Retail & Garment
Industries, Management.
Education & Licensures
Bachelor of Science in Marketing, Sales & Management ( Fashion Institute of
Technology / State University of NY
FINRA Series 6 (December 1999) ( Series 63 (June 2000)
Technical Skills
Microsoft Office Applications, FINRA Web CRD System, FINRA.org, NMLS,
Domestic State Regulated Systems & FSA, Infinite 21, TGRS and
HRI/PeopleSoft, Lexidia, Consultworks, Adobe Photoshop, Publisher, Social
media management and strategies.
Contact this candidate