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Compliance Professional

New York City, New York, United States
September 16, 2019

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Christopher D. Leonard

New York City Area 631-***-****

Senior Compliance Professional

Senior level compliance specialist in financial services industry. Extensive compliance, and management experience with a deep understanding of business operations. Analytical with ability to adapt style of delivery, and quickly engage people at all levels.

● FINRA Licenses: Clean U4 - Series 7, Series 66, Series 24 & Series 53 (CRD 5044563) Experience

AXA Advisors (#27 Fortune Global 500),New York City 05/2015 – 05/2019 Regional Controls Manager

Member of three-person team in HQ to oversee Branch Controls Managers throughout the country and supervised Branch Managers.

● Focus was onsite examinations & audit with respect to regulations & firm policy / WSPs. Local managers escalated regulatory & compliance issues to our team.

● Traveled to branches to help with onsite FINRA & SEC inquiries. Created & clarified firm policy.

● Provided guidance for branches to meet annual requirements & conducted performance reviews. Was able to turnaround underperforming branches removing concerns. Branch Controls Supervisor, San Francisco 06/2013 – 05/2015 Compliance officer for Northern California territory. Engaged in all aspects of compliance for large OSJ location and detached offices.

● Responsibilities included transaction approval, advisor audits, location & paperwork review, monitoring FA activities, correspondence review, advertising / social media approvals, onboarding, approve OBAs and lead ACM. Developed and implemented compliance guidelines for branch. Branch was “of concern” & turned around after second audit.

● Provided all necessary information for successful onsite SEC audit. Promoted to HQ. Merrill Lynch,San Francisco 01/2012 – 12/2012

Practice Management Development

Financial planning for high net worth individuals. Assisted clients with equity and fixed income investments in addition to providing loans for residential and commercial real estate.

● Built a referral network with centers of influence. Developed and maintained client relationships that increased loyalty and grew revenue. Northdyre Trading,San Francisco 02/2011 – 06/2011


Organized trading firm; the hedge fund partially backing the project wanted to renegotiate terms rendering it no longer viable.

● Worked with a developer to create a semiautomated trading system with back-testing capabilities. Arranged for necessary employees, infrastructure, website, trading platforms and clearing firm.

Christopher Leonard 631-***-**** Page Two

Altrion Trading Group 01/2009 – 01/2011

Risk Manager, San Francisco, 06/2009 – 01/2011

Trader, New York City, 01/2009 - 06/2009

Promoted to Risk Manager within 6 months of hire to oversee all facets of a trading business.

● Supervised day-to-day operations for trading floor and remotely monitored Los Angeles office.

● Worked daily with several clearing firms, ECNs/dark pools, B/Ds, NYSE floor and traders. Provided daily trade support and motivation. Negotiated pricing with vendors. E1 Asset Management, New York City 09/2005 – 01/2009 Assistant Manager – Compliance, 01/2007 – 01/2009

Advisor, 09/2005 - 01/2009

Developed and maintained client relationships with domestic and international high net worth individuals.

● Completed successful SEC audit. Conducted client file reviews, maintained FINRA registrations, books & records and approved trades. Education

Bachelor of Arts (BA) and Bachelor of Science (BS),Economics and Mathematics Boston University,Boston, MA

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