compliance officer

Wes Rusch 415-***-**** (Home)

*** ****** ****** *** 415-***-**** (Cell)

San Francisco, CA 94107-1181

vg3tt3@r.postjobfree.com

________________________________________________________________________________________

OBJECTIVE: Compliance or Legal Position

EXPERIENCE: Over thirteen (13) years of compliance experience

LICENSES:

NASD/NYSE (FINRA) 3, 4, 7, 8, 9, 10, 12, 14, 24, 27, 53, 55 and 63

State Bars: California and New York

POSITIONS HELD:

Chief Compliance Officer

Chief Bank Secrecy Act (BSA) Anti-Money Laundering (AML) Compliance Officer

Chief Futures Compliance Officer

Internet Compliance Officer

RESPONSIBILITIES:

Develop, implement and monitor firm policies and procedures to ensure that all activities and operations of the broker dealer and futures commission merchant are carried out in compliance with industry regulations and corporate standards.

Advise business units on regulatory and compliance matters

Review surveillance reports

Develop, implement and maintain BSA AML compliance program

Review files and make recommendation whether or not to file Suspicious Activity Reports (SARs)

Conduct Annual Compliance Meetings, Annual Compliance Certifications and Annual Branch Compliance Audits

Respond to regulatory, legal and customer requests, complaints and inquiries

Assist regulators during audits and examinations (SEC, NYSE, NASD and NFA)

Review audit results and implement and monitor corrective policies and procedures

Review research reports for proper disclosures

Maintain black-out and restricted lists

Review exception reports

Supervise compliance personnel

EMPLOYMENT HISTORY:

First Republic Securities, San Francisco CA 2007

Compliance Consultant

Compliance, Inc. Palo Alto, CA 2007

Consultant

Merriman Curran Ford & Co. San Francisco CA 2007

Compliance Manager

Union Bank of California, Los Angeles CA and San Francisco CA 2006

Quality Control Review Consultant

Financial Investigation Unit SAR Consultant

Fimat Preferred (Société Générale Group (French Bank)) San Francisco, CA 2000 to 2006

Chief Compliance Officer (CCO)

Chief Bank Secrecy Act (BSA) Anti-Money Laundering (AML) Compliance Officer

Chief Futures Compliance Officer

PRIOR EMPLOYMENT HISTORY:

Practiced complex business litigation and corporate law in Los Angeles 1982 to 1994

Returned to school to obtain MBA to redirect career to Securities 1993-1995

Worked part time as Assistant to President for Los Angeles Broker Dealer 1994-1995

Worked as Chief Compliance Officer for Broker Dealers in New York City 1996-2000

EDUCATION:

UNIVERSITY OF SOUTHERN CALIFORNIA, Los Angeles, CA

Masters of Business Administration (MBA), Finance and Securities Concentration

LOYOLA LAW SCHOOL, Los Angeles, CA

Juris Doctor (JD), Corporate/Securities Law and Litigation Concentration

BOSTON UNIVERSITY, Boston, MA

Bachelor of Arts in Economics (BA), Minor concentration in Accounting

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