I am applying for the Compliance Officer position posted on At your convenience, I would appreciate the opportunity to discuss the position and my candidacy with you. You can find my resume attached to this e-mail.
I have worked for the past ten years as a consultant for various large and international brokerage houses and banks. My involvement has given me an opportunity to view the many ways that various professional organizations have approached potential problems centered on compliance and accounting related issues. In many instances, regulatory problems or new regulations that required foremost attention and crucial deadlines for management mandated these assignments. It was necessary to be able to work with a steep learning curve and attention to details, with accuracy under pressure and to multi-task various duties and responsibilities. I would like to repeat that success recognized in the performance of a successful consultant to a permanent position in an established firm or organization.
My experience also included working as a compliance officer /FinOP in small to mid-sized brokerage houses with annual budgets ranging from about $500,000 to several millions of dollars. Because of the relatively small size of these businesses, I have been exposed to, and participated in most aspects of managing the compliance department and back office as well as being asked to file all of the regulatory paperwork and monthly/annual reports and accounting for these firms
Hemet, California

This example was posted: 4/15/2010 10:58:18 PM EST

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