Arvest Wealth Management
Compliance Specialist
Arvest Wealth Management Jun 2014 - Mar 2015
Discount Brokerage Trading Specialist
Arkansas Securities Department Jan 2008 - Jun 2014
Senior Examiner
Education:
University of Central Arkansas 2003 - 2007
Bachelors, Bachelor of Business Administration, Management, Finance
Skills:
Compliance Regulations Regulatory Compliance Finra Anti Money Laundering Investments Trading Data Analysis Microsoft Excel Microsoft Word Microsoft Powerpoint Microsoft Outlook Time Management Organization Skills Customer Service Leadership Process Efficiency Instructor Led Training Public Speaking Securities Regulation Ad Hoc Reporting Legal Compliance Compliance Management Privacy Compliance Risk Management Certified Fraud Examiner Internal Investigations Complaint Investigations Complaint Management Sec Regulations Privacy Regulations Federal Regulations Insider Trading Regulations Policies and Procedures Development Policies and Procedures Financial Policies and Procedures Surveillance Detection Surveillance Digital Surveillance Compliance Monitoring
Languages:
English Spanish
Certifications:
Series 7 Licensed Series 24 Licensed Series 66 Licensed Series 4 Licensed Series 52 Licensed Series 53 Licensed Life, Health, Accident, Variable Product Insurance Licensed Certified Fraud Examiner Certified Anti-Money Laundering Specialist Financial Industry Regulatory Authority (Finra) Nasaa
eDelta.net since Jul 1999
President/Owner
Acxiom Dec 1998 - Jun 2001
Technical Support
Walt Disney World Jul 1996 - Aug 1998
Yacht & Beach Club Resort
Walt Disney World Dec 1993 - Jun 1996
Retail
Education:
University of Arkansas
Skills:
Technical Support Commitment To Customer Service Web Design Web Hosting Website Consultation Entrepreneurship Social Media Process Improvement Internet Marketing Public Policy Web Development Social Networking Seo Public Speaking Web Marketing Start Ups Website Development Customer Service Online Marketing Public Relations
Interests:
Social Services Children Economic Empowerment Civil Rights and Social Action Politics Education Environment Poverty Alleviation Science and Technology Disaster and Humanitarian Relief Human Rights Animal Welfare Arts and Culture Health
Robert Dundas (1971-1974), Gregory Caputy (1983-1986), Ian Scott (1995-1998), Kurt Sims (1998-2002), Slava Epelman (2002-2005), Heather Eliason (1998-2001)