Management Assistant

CYNTHIA A. BLAND

*** ******* ****, *******, *** Jersey 07012

Email Address: ***********@***.*** Cell Number: 917-***-****

Objective: Seeking to leverage proven skills in the Financial Industry and transition to the Food and Beverage Industry. On a lighter note, constant objective of clearing JFK airport customs with the maximum amount of International Wines!

Personal Accomplishments: Creator of Wine Recommendation Website * Hand-picked Wine selection for prior Firm’s Holiday Party * Event Coordinator for gatherings

Professional Experience

Compliance Analyst * Core Compliance – Dec. 2011 through April 2015

Brown Brothers Harriman & Co. – 140 Broadway, NY, NY

Responsible for Regulatory registration and licensing of the Firm and its personnel. Analyzed customer complaints and outside business activities to determine reportability to appropriate authority level. Assisted with new-hire onboarding which included but was not limited to background review and fingerprinting. Assisted with the review of Gift and Entertainment requests submitted by Personnel. Worked closely with Accounting Department in processing billing payments to agencies in a timely manner. Provided regular reporting to Senior Management to assist with their supervisory obligations.

My employment with Brown Brothers afforded me the opportunity to regularly interact with Personnel and Senior Management which ultimately enhanced my ability to communicate information in verbal and written formats.

Sr. Compliance Manager * Regulatory Reporting Unit – Nov. 2004 through Dec. 2011

AXA Equitable Life Insurance Company – 1290 Avenue of the Americas, NY, NY

Satisfied regulatory inquiry requests received from FINRA, SEC and state securities departments pertaining to current and former financial professionals. Managed the Firm’s export to FINRA for the Quarterly Statistical and Summary Report. Served as point person with the yearly on-site audits. Assisted with the preparation of various reports for Senior Management. Monitored on a daily basis various reports which reflected the closing of customer complaints, civil litigations and arbitrations requiring reporting within the 30-day requirement. Coordinated focus groups to enhance the Firm’s internal computer systems, addressed audit issues of FINRA Examiners and enhanced the unit’s internal controls.

While being employed at AXA, team-player characteristics were critical in the high-paced environment. In addition, being detailed and thorough during Firm audits was paramount.

Senior Investigation Analyst * Enforcement Division – Jan. 2000 through Nov. 2004

New York Stock Exchange, Inc. – 14 Wall Street, NY, NY

Investigated and analyzed termination notices for Registered persons and notices of settlement of customer complaints lodged by the general public against New York Stock Exchange member organizations. Drafted memoranda relating to alleged rule violations of minor or technical nature recommending no action or informal disciplinary action. Conducted original research during the course of preliminary and formal investigations to gather documents and information.

As an Investigation Analyst for the New York Stock Exchange, working well under pressure and exhibiting analytical thinker skills in ever-changing situations were critical.

Senior Legal Assistant * Office of Dispute Resolution – June 1996 through Nov. 1999

NASD Regulation, Inc. – 125 Broad Street, NY, NY

Instructed staff on changes of the Code of Arbitration Procedure as “Code Specialist” for the Northeast Region Office and advised staff on the impact of the changes on case processing. Trained new Legal Assistants on the administration of arbitration cases. While maintaining a caseload of approximately 300 cases, responsibilities included: analyzing and processing filed claims, answers, counterclaims and cross-claims. Preliminarily determined the outcome of motions filed regarding consolidation, severance, class action and fee waiver request issues. Responded to customer complaints. Reviewed and selected appropriate arbitrators for matters. Acted as neutral facilitator between parties.

Due to my personable nature, coupled with patience and ability to communicate effectively, my employment at NASD Regulation included large components on training staff.

Legal Assistant * Office of the General Counsel – June 1990 through June 1996

Smith Barney, Inc. – 388 Greenwich Street, NY, NY

Handled over 125 matters filed in state, federal and arbitration forums. Duties included representing the Firm in NYC Small Claims court proceedings from start to finish. Acted as liaison between various departments within the Firm, outside counsel and courts to respond and resolve problems which arose out of the matters. Prepared all filing materials for reportable and non-reportable matters to the NYSE. Assisted in management of new case files. Retrieved and analyzed relevant documents to develop defense arguments, including responses to subpoena requests. Retained outside lawyers on particular matters and set forth guidelines.

Smith Barney was the platform for my entry into the Financial Industry. It set the stage to develop communication, enthusiasm and hard-worker skills.

Skills

Microsoft Word, Excel, PowerPoint, Microsoft Outlook, Mainframe Applications

Education/Certifications

Katharine Gibbs Business School, New York, NY – Certification Awarded June 1990 – Paralegal Program

American Sommelier Inc., New York, NY – Certification Awarded October 2013 – Wine Foundation

Certification in Food Handling and Safety [pending]

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