Compliance Officer, Registered Options Principal

NELLA ZELENSKY

*** **** ****** ***, *** York, NY 10019 C: 917-***-**** *************@*****.***

Dynamic securities compliance professional with broad-based experience in RIA and BD business lines, sales, trading, experience implementing best practices through ongoing research and developing strategies to minimize compliance risk and prevent violations. Seeking compliance position in regulatory agency, RIA, BD, private banking, wealth management, financial information agency, consulting or regulatory services firm. Series 7, 6, 24, 26, 4, 63, 65 License

Exceptional sales skills

Excellent communication, organizational and

interpersonal skills

Strong problem-solving capabilities

Analytical/reasoning skill

Negotiating and analytical skills

Russian-speaking

Internet Marketing skill

Microsoft Office Suite, Thompson Reuters

Ability to work independently or as team member

Possess professional manner and judgment

Ability to be active participant on BD/RIA leadership team

Ability to work and react quickly in fast-paced

environment

Understanding of customer transactions and

communication

Strong attention to detail, responsiveness and ability to take initiative

Registered Option Principal, Compliance Officer, 06/2015 to Current Windsor Street Capital LP – 45 Broadway, 2nd floor New York NY 10006 Overseen compliance support for BD and its associates. Closely worked with Chief Compliance Officer Provided guidance and input on key regulatory policies and procedures Tested effectiveness of policies and procedure on periodic basis Prepared Annual Certification of Compliance and Supervisory Processes Facilitated annual compliance reviews, updates to policies and procedures and resolution of complex questions/issues

Communicated with FINRA regulators and participated in FINRA audits Provided guidance on questions of SEC and state registration Monitored daily trades including stocks, bonds and options. Provided assessment and mitigating risk Reviewed and approved new account paperwork, margin and option agreements Reviewed and processed daily exception reports and trade blotters. Identified problem areas, analyzed risks and suggested appropriate solutions

Interviewed clients to confirm risk tolerance and investment objectives Trained registered representatives on applying due diligence procedures and regulatory mandates Conducted internal audits. Wrote procedures for internal auditing purposes Managed outside branches

Managed and monitored Code of Ethics

Adhered to all federal and state compliance guidelines relative to retail BD business Enforced company policies in accordance with applicable regulations and procedures Continued education on AML/BSA (preparation for CAMS exam, - Certified Anti- Money Specialist) Chief Compliance Officer, 08/2015 to 12/2016

Swiss Allied Wealth Management – 45 Broadway, 2nd floor New York NY 10006 Ensured RIA compliance with applicable laws, rules and regulations PROFESSIONAL SUMMARY

SKILLS

WORK HISTORY

Advised members of Board of Directors

Completed annual and periodic regulatory filing of Form ADV Leading RIA and its representatives through state registration process Coordinated, drafted and maintained WSP

Created and revised disclosure documents and advisory agreements Researched, investigated and resolved complex legal and regulatory issues associated with a RIA Coordinated risk identification in business and compliance processes and steps required to mitigate risks Monitored and reviewed new and existing rules and regulations affecting investment adviser Assisted business unit management with compliance inquiries Provided compliance support for new product initiatives Reviewed marketing materials as subject matter expert, drafted and monitored firm's website Provided ongoing compliance support and advice for day to day activities Integrated industry benchmarking and best practices through ongoing research, education and industry affiliations

Branch Manager, 12/2010 to 10/2014

Fairport Capital Inc. – 60 East 42nd Street, S.2515 New York NY 10017 Monitored performance of registered representatives and provided compliance support Communicated with clients, answered questions about risk tolerance, investment profile and strategies Prepared and filed trade blotters, maintained branch files Preparing marketing materials, sales presentations, performance reports and public seminars Communicated with industry vendors, organizing conference calls Branch Manager, Investment Advisor Representative, 08/2006 to 01/2008 Investment Advisors International – 80 Fifth Ave, 7th floor New York NY 10011 Analyzed investment products to develop customized financial strategies for clients' financial needs Recruited new associates, provided compliance support and overseen registration process Maintained branch books and records, assisted regulators and internal auditors in conducting cycle Prepared marketing materials, sales presentations, promotional brochures and public seminars Interviewed 3rd party vendors and provided due diligence Branch Manager, Registered Representative, 07/2004 to 12/2008 World Group Securities Inc. – 80 Fifth Avenue, 7th floor New York NY 10011 Analyzed investment products to develop customized financial strategies and investment programs for clients' financial needs.

Overseen day to day activity of 45 registered representatives (mutual funds, variable annuity, variable live insurance), monitored ongoing compliance, conducted compliance and sales meeting Managed NY branch, recruited new associated, conducted weekly company presentations, sales training and 3rd party vendors product training

Approved sales contests and monitored reps activity to assure integrity and compliance Registered Representative, 12/1997 to 09/1999

WMA Securities Inc. – Duluth, GA

Sales Associates, 07/1995 to 12/1997

PFS Investments Inc. – Duluth GA

Sales Associate, 01/1999 to 08/2007

Corcoran Group Real Estate – New York NY

Residential real estate sales

Associate Broker, 09/2007 to 07/2016

Brown Harris Stevens – New York NY

Residential Real Estate sales

MBA: Finance,

Chelyabinsk State University - Russia

Bachelor of Science: Journalism,

Lomonosov Moscow State University - Russia

Member of NSCP (National Society of Compliance Professionals) A journalism major at Moscow State University, – the top University in Russia, Ms. Zelensky began her career in securities industry in 1995 soon after moving to US. Eager to learn financial services industry, she commenced building her expertise in mutual funds and insurance-based products. Area of special interest for Ms. Zelensky was retirements plans. She served customers across tristate area and putting clients first was her daily priority. Nella was not only a top producer but after becoming a branch manager, she did a lot of coaching and recruiting. Mr. Zelensky exerted substantial personal effort to support other representatives, especially in area of compliance. 10 years after starting career in financial services industy, Ms. Zelensky entered world of investment advisory and wealth management. She worked as compliance officer and sales manager of retail broker-dealer. Mr. Zelensky is very assertive, always laser-focused on details, has honesty and humility. As a designated principal her prime focus is preventive compliance, it is also her passion.

Ms. Zelensky is a member of National Society of Compliance Professionals. EDUCATION

AFFILIATIONS

BIO

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