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Anna Brooks
309 W. 15th Place, Unit 313
Chicago, IL 60001
Home: 312-850-9876
Cell: 312-719-1230
Email: anna@yahoo.com
Compliance Analyst & Registration Specialist with 11 years of work experience with a Broker Dealer and FCM in the financial services industry, which includes an understanding of Compliance and Legal Department functions. Registration Specialist experience at Broker Dealer includes an understanding of the NFA and FINRA online registration systems. Additional 6 years of work experience includes an understanding of Sales Administrator related functions and positions.
PROFESSIONAL EXPERIENCE
MetLife Securities Inc., Broker Dealer (Integrated Financial Concepts)
Financial Services Representative (Appointed Trainee Program)
Dec. 2010 – May 2011, Orland Park, IL
· Training included the tracking and awareness of Anti-Money Laundering (AML) “Red Flags” in the insurance and financial services industry. In addition, trained and prepared for the Series 6 and Series 63 exams as required to become a Financial Services Representative. Licensed by the State of Illinois for Life & Health, December 2010.
MF Global Inc. (Broker Dealer & FCM)
Compliance Analyst &
Registration Specialist
February 1999 - May 2010, Chicago, IL
· Provided 11 years of Compliance Analyst support to the Chief Compliance Officer, Compliance Department, and various Branch Managers as required.
· Handled inquiries and correspondence from Exchange members, the CFTC, the SEC and the public pertaining to Exchange Rules. Conducted investigative interviews of subjects and witnesses related to open investigations. As an Analyst, I worked in conjunction with the Chief Compliance Officer and designated AML Officer regarding the filing of suspicious activity reports (SARs).
· Investigated and processed various (SRO) regulatory exchange requests, which included investigating details of the request and responding to the regulators regarding AML issues found on customer statements, customer accounts, trading activity review, and a review to determine potential rule violations.
· Conducted employee outside personal trading account surveillance and monitoring of employee trading surveillance review for RRs and APs. Monitored customer accounts and trading surveillance. Assisted in identifying potential rule violations and examples of suspicious activities for AML review.
· Reviewed customer accounts by identifying problematic issues related to Anti-Money Laundering (AML), Know Your Customer (KYC) and firm Customer Identification Programs (CIPs).
· Conducted internal reviews and audits of firm wide personnel and files to ensure compliance with exchange rules and regulations and member firm requirements.
· Processed firm Broker Dealer filings and filed customer complaints on FINRA’s WEB CRD.
· Processed firm AP and RR registrations which included all aspects of registration functions on the WEB CRD and NFA online registration systems. Additionally, conducted internal reviews and audits of employee registration files.
· Processed, reviewed, and tracked sales literature, sales material, promotional material, and firm advertising, prepared and updated reports, processed blue sheet requests and CFTC form 102 requests.
· Administered CE/Anti-Money Laundering Training/Ethics training/Annual Compliance Meetings, Insider Trading and tracking reviews for RRs and APs annually. Maintained accurate database tracking for AML training completion purposes.
· Maintained databases in tracking of various Regulatory Compliance issues, internal/external auditing tracking, recordkeeping requirements and various reporting to the Board of Directors.
· Produced and maintained multiple databases shared between Chicago and NY offices, produced various spreadsheets, and worked on various special projects for the Compliance Department.
Wheels Inc. (Fleet Management Company)
Sales Administrator
September 1998 – February 1999, Des Plains, IL
· Provided Sales Administrator support to the Sales and Marketing Departments.
· Compiled presentation materials for Sales and Marketing Departments.
· Produced general correspondence, contact lists, client and prospect information.
· Performed sales statistical tracking and review.
· Completed various projects as requested by Sales and Marketing Departments.
EDUCATION AND TRAINING
Illinois Institute of Technology IT Programs
Database Fundamentals with Microsoft Access 2000 Certification
August 2000, Chicago, IL
Stevens Institute of Business & Arts – Graduate (formerly Patricia Stevens College)
Major: Business Administration, Associate Degree Graduate: August 1991
Minors: Legal Studies & Computer Operations
Outstanding Academic and Personal Achievement, Fall Session-1990, Spring & Winter Sessions 1991, St. Louis, MO
PROFESSIONAL ASSOCIATIONS
· Member of the Society of Corporate Compliance and Ethics (SCCE)
· Member of the Association of Certified Fraud Examiners (ACFE)
SUMMARY OF QUALIFICATIONS
· Additionally, skilled in licensing/registration of registered personnel and administering HR employee related training programs for all firm personnel working in conjunction with the Compliance and Legal Departments. Possess effective analytical and time management skills.
· Attended various IACET seminars for Customer Service and possess strong interpersonal skills.
· Attended and completed various internal Compliance related training programs and awarded CE credit hours administered by the American Management Association. Attended various CE/AML/Ethics Training/ Insider Trading and Annual Compliance Meeting training programs at Broker Dealer and FCM as required by member regulatory exchanges.
TECHNICAL SKILLS
· Database Fundamentals with MS Access 2000 Certification, IIT Certifications, Aug. 2000
· Advanced proficiency in all Microsoft applications which includes: MS Word, MS Excel, MS Access (10 years of experience), MS PowerPoint, MS Outlook; also GMI, BETA, Phase 3 experience.
· Training and work experience includes the processing of futures registrations for Associated Persons (APs) on the NFA online registration system (ORS) and the processing of securities registrations for Registered Representatives (RRs) on the FINRA (WEB CRD) online registration system platforms.
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