Jerry Desiderio
Palm City,Florida
Summary
Focused Compliance Officer bringing 20+ years of expertise in regulatory compliance, audit procedures, project oversight and risk management. Excellent history of delivering effective leadership and training to support staff development. Driven and strategic with an aptitude for program management. Advanced knowledge of audit methodologies, functions and compliance teams.
Overview
20
20
years of professional experience
Work History
Compliance Officer
Alexander Capital LP
New York, NY
12.2020 - 04.2023
- Approved and maintained all Outside Business Activities for our Registered Representatives.
- Approved all Private Security Transactions
- Reviewed and maintained all Senior Citizen accounts
- Reviewed and approved all incoming and outgoing money wires and transfers
- Reviewed all incoming and outgoing emails
Chief Compliance Officer
R.M. Stark & co.
Lake Worth, Florida
05.2008 - 10.2020
- Maintained compliance frameworks, policies and documentation to support audits.
- Maintained and revised policy procedures for general operation of compliance program.
- Developed systems to track and monitor compliance with regulatory requirements and internal policies.
- Audited all Representatives home offices
Chief Compliance Officer
K W Brown Investments
Lake Worth, FL
01.2003 - 05.2008
- Maintained and revised policy procedures for general operation of compliance program.
- Reviewed and reconciled accounts
- Reviewed trades to assure clients received best executions.
- Monitored all incoming and outgoing money transfers
Education
Finance
NY Institute of Finance
New York, NYSkills
- Risk management strategies
- Marketing understanding
- Trend monitoring
- Reporting requirements
- Compliance reviews
Timeline
Compliance Officer
Alexander Capital LP
12.2020 - 04.2023
Chief Compliance Officer
R.M. Stark & co.
05.2008 - 10.2020
Chief Compliance Officer
K W Brown Investments
01.2003 - 05.2008
Finance
NY Institute of Finance