Business Operations Senior Management
Resume:
HALINA ROMANOVNA YEVTUKH
216-***-****(C) • E-MAIL *******@*****.***
OBJECTIVE
To apply financial industry experience and leadership skills to a strong organization
**/**** – 03/2024 PlanMember Securities Corp, Santa Barbara, CA
Sales Supervision Principal
■Built partnerships with Business Operations, Registered Representatives and Supervisory Partners.
■Applied in-depth knowledge, contributing to development of new techniques and improvements of processes within the company.
■Advised Senior Management on topics such as Compliance, AML and Supervision.
■Supported the company with knowledge of Bank and Broker-Dealer business processes, regulatory requirements and related policies.
02/2010 - 11/2022 PNC Investments, Cleveland, OH
Central Review Principal
■Developed project goals and worked collaboratively with cross-functional teams to achieve company’s goals.
■Built reporting enhancements including trends, analysis and improvements.
■Provided support to the firm in areas of trading, systems and technology.
■Conducted reviews of trading activities on Fidelity Wealthscape platform.
■Participated in over two major clearing firm conversions including First Clearing and Hilliard Lyons.
■Reviewed trade activities, including stocks, bonds, options and mutual fund transactions.
■Ensured timely and complete delivery of required documentation, coordinated relevant approvals and audits.
■Created and monitored controls to ensure regulatory and firm compliance. Recommended automation processes where it was possible.
■Provided recommendations on process improvements, risk mitigations and collaborations with Sales, Operations, Legal and Compliance departments.
■Conducted Financial Advisor trainings related to best investment practices and firm’s policies.
■Assisted the firm with Anti-Money Laundering processes and exam inquiries.
■Applied knowledge of applicable AML/AFC laws/regulations and provided guidance in area of Bank
Secrecy Act, USA Patriot Act, FED, NYDFS, SEC, FINRA, FFIEC, BaFin et cetera.
■Completed suitability analysis for brokerage account reviews.
02/2007 – 02/2010 NatCity Investments, Cleveland, OH
Compliance Administrator II
■Coordinated exam activities (pre, during and post the reviews) and worked with internal regulatory exam management group during examinations to ensure proper coverage of regulatory deliverables.
■Lead audit with regulatory authorities, in accordance with set expectations and industry standards.
■Gathered materials for management communications and provided timely and accurate senior management updates.
■Provided periodic and centralized updates to regional and senior management.
■Managed tracking and execution of all external and internal issues and communicated escalated concerns to senior management, as needed.
■Developed supervisory reporting to mitigate regulatory and business risk.
■Reviewed and improved compliance policies, procedures and equity research tools.
■Conducted New Hire Trainings and meetings with the field.
■Created compliance testing plan for 2012-2013 audit year.
■Assisted the firm with regulatory inquiries during FINRA regulatory compliance examinations.
■Managed and reviewed OATS trading reports for the firm.
01/2005 – 02/2007 FTN Midwest Securities, Cleveland, OH
Compliance
■Completed reviews of employees’ trading activities, outside business activities and private security transactions.
■Engaged in compliance reviews of research reports and correspondence.
■Approved marketing and advertising materials for the firm.
■Participated in IPO offerings.
HONORS AND ACHIEVEMENTS
National Dean’s List, University Honor’s Scholar, Golden Key International Honors Society, Beta Gamma Sigma Honors Society, Robert E. Donovan and University of Akron Honors Scholarship Recipient, Leader of New Business Law Clinic Financial Strategy Team. Multilingual: Fluent in English, Ukrainian and Russian.
EDUCATION
The University of Akron Akron, OH
Bachelor of Business Administration in Finance (Minor: International Business)
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