Regulatory Compliance Risk Assessment

PAUL I COMI

***************@*****.*** 818-***-**** Carrollton,TX United State

Summary

Results-driven financial professional with a strong foundation in the securities industry, specializing in investment management, financial advising, and client portfolio optimization. Adept at crafting tailored financial strategies that align with client objectives, while navigating complex market trends and investment opportunities. A strategic thinker and proactive change agent, skilled in driving business growth through data-driven decision-making, risk assessment, and regulatory compliance. Known for delivering high-impact financial solutions, fostering long-term client relationships, and executing action-oriented plans that support corporate objectives and sustainable profitability. Skills

Effective Communication

Team Building & Leadership

Risk Assessment & Mitigation

Training Development & Facilitation

Market Analysis & Trend Forecasting

New Business Identification & Development

Problem Solving

Strategic Planning

Documentation & Reporting

Client Service & Satisfaction

Equity, Options & Mutual Funds Execution

Policy/Procedure & Regulatory Compliance

Experience

05/2023 - Current

xxxx

United State

Consultant

Developing innovative strategies for clients, resulting in increased revenue and business growth. Collaborating with cross-functional teams to successfully deliver comprehensive solutions for clients. Managing client relationships through regular check-ins and updates on project progress. Evaluating client needs and expectations, establishing clear goals for each consulting engagement. Supporting financial institutions by advising on trading, operational processes, and wealth management solutions, ensuring compliance, and maximizing profitability. 11/2008 - 05/2023

Western International

Securities

United State

Senior Equity Trader/Registered Investment Advisor Improved client retention rates by maintaining open communication and conducting regular performance reviews.

Extensive experience working with high-net-worth (HNW) and ultra-high-net-worth (UHNW) clients. Managed multiple client accounts simultaneously while prioritizing tasks effectively to meet deadlines, and maintain accuracy in reporting.

Educated prospective clients on the benefits of professional investment management services, converting leads into long-term relationships.

Serves as an active member of the BATS Exchange, facilitating directed block orders for optimal execution, and generating additional income via the Instinet platform. Expanded the account base from 50 to 70, primarily through referrals, and increased assets under management (AUM) from $9 million to $27 million.

10/2003 - 03/2008

Self Employed

Calabasas, CA, United

State

Consultant

Designed and established institutional trading desks for multiple brokers and dealers, streamlining financial asset transactions for institutional clients.

Developed and nurtured client relationships, tailoring investment strategies to align with their financial objectives and market conditions.

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Performed in-depth market research and investment analysis, identifying profitable opportunities, and advising clients on optimal financial strategies.

Collaborated with Oxfam on investment priorities, offering strategic recommendations to align trading practices with future market shifts, and advocacy efforts. Designed and established institutional trading desks for multiple brokers and dealers, streamlining financial asset transactions for institutional clients.

10/2003 - 03/2008

Monitor Capital

Management

La Jolla, California,

United State

Independent Contractor

Delivered outstanding service to customers to maintain and extend relationships for future business opportunities.

Adapted quickly to changing demands or unforeseen challenges within a project's scope, without compromising results.

Maintained detailed records of project progress, expenses, and communications for accurate invoicing and future reference.

Increased client satisfaction by delivering high-quality projects on time and within budget constraints. Communicated effectively with clients throughout the entire project lifecycle, keeping them informed of progress updates, or any potential issues that arose. 03/2003 - 01/2008

AFA Financial Group

United State

Managing Director/Brokerage Services

Developed comprehensive business plans, outlining long-term goals, and actionable steps toward success. Oversaw operations and provided corrective feedback to achieve daily and long-term goals. Strengthened client relationships with regular communication, timely project delivery, and high-quality services.

Delivered consistent revenue growth by identifying new business opportunities and expanding service offerings.

Provided strategic leadership to a team of over 100 representatives, mentoring them to refine their skills, make informed decisions, and advance their careers. 04/1999 - 04/2002

National Securities Corp

– Seattle

WA, United States

Vice President/Director of Sales and Trading

Education

Woodland Hills,

California

Associate of Arts

L.A Pierce College

Los Angeles Bachelor Degree

University of California

Licenses

Registered Investment Advisor

Financial Industry Regulatory Authority (FINRA)

Series 7: General Securities Representative Exam

Series 63: Uniform Securities Agent State Law Exam Series 66: Uniform Combined State Law Exam

Series 24: General Securities Principal Exam

Series 55: Equity Trader Qualification Examination Series 57 to Equity Trader Upgraded Examination

SIE Securities Industry Essentials

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