AVP Compliance

Andrew H. Brookshire

***** ******** ***** ****, *******, TX 77429

816-***-**** (cell) 281-***-**** (home)

******************@*****.***

Summary

Experienced and highly motivated individual with a diverse background in the financial services industry seeking a challenging and rewarding position that utilizes my experience in corporate compliance and field retail sales management. Strong strategic thinker and team builder.

Profile

• Over 12 years experience in the financial services industry.

• Goal-oriented individual with strong leadership capabilities.

• Series 4, 7, 24, 53, 63, 65, 87 and Group 1 licensed

• Currently working towards NRS Investment Advisor Certification

• Organized, hard working and detail-directed problem solver.

• Proven ability to work in unison with co-workers, and upper management personnel.

Education

• University of Texas at Austin, B.A. Business Economics, 1997

• Plano Senior High School, 1993

Employment

Associate Vice President - Compliance , Stanford Group Company, 2007 - present

Houston, TX

• Responsible for internal audits of firm’s retail and institutional OSJ offices.

• Automated the branch audit process and annual compliance questionnaire through RegEd.

• Responsible for providing periodic compliance training as well as the annual compliance meeting to field and corporate employees.

• Worked on the implementation, as well as the training, of an automated exception based trade alert/blotter system that interfaces with Pershing’s trade reporting system.

• Investigated and documented complaints and potential FINRA and SEC violations.

• Completed re-write of firm’s Written Supervisory Procedures and automated the update process by hosting the document through CCH.

• Conducted corporate level surveillance on branch office retail accounts and external communications.

• Participated in the review of Advertising and Sales Literature.

• Drafted the agreements, conducted due diligence and audited the ongoing responsibilities associated with domestic referrals and foreign finders.

• Reviewed due diligence and solicitor agreements/PPMs regarding potential private placement offerings and hedge funds as part of the product vetting committee.

Regional Sales Support Manager , ING Financial Advisers, LLC, 2001 - 2007

Kansas City, MO

• Helped establish and manage one of the first field transactional OSJ’s for ING Financial Advisers.

• Responsible for suitability review and approval of all retail transactions submitted for reps in a 14 state region.

• Responsible for training new and existing reps on available retail products as well as compliance standards and procedures.

• Inspected reporting branch offices and worked with the branch managers to ensure their compliance with regulations established by ING Financial Advisers and the NASD.

• Established and updated Supervisory Guidelines and Procedures documents for the OSJ and reporting branch offices.

• Received high audit evaluations for each annual OSJ audit.

• Assisted Government and Higher-Education Sales Groups with special projects and training.

• As needed, gave enrollment presentations and helped with the enrollment process as governmental, higher-education and healthcare cases were acquired or updated.

Registered Representative, ING Financial Advisers, LLC, 1997 - 2001

Austin, TX

• Worked with clients in a para-planning capacity offering comprehensive financial plans.

• Helped develop models, research investment options and maintain a balanced allocation for the managed account book.

• Responsible for order entry and documentation of brokerage and advisory business.

• Provided service, consultation and participated in the enrollment efforts for employees of the University of Texas System and Louisiana State University System.

• Assisted in the transition of our client contact database from one vendor to another and handled the maintenance of the new database.

• Our 4 person operation managed over a $175 million book of business.

Contact this candidate