Summary
Overview
Work History
Education
Skills
Timeline
Generic

THOMAS TOWNSEND

Summary

Detail-oriented Compliance Analyst with robust reporting and regulatory expertise. Strong ability to communicate and enforce policies while managing compliance inspections and marketing reviews. Proficient in advanced reporting tools such as Excel and Power BI, ensuring adherence to regulatory standards through effective organizational skills.

FINRA Licenses: Series 7, 24, 4, 66

Overview

5
5
years of professional experience

Work History

Compliance Analyst

Natixis Investment Managers
Boston
03.2024 - Current
  • Communicate and enforce policies, Non-cash compensation reporting, review outbound and internal electronic communications, WORM retention testing, manage branch/non-branch office inspection program, assisted in FINRA audit, Marketing communications review/approvals, new-hire onboarding, FINRA Gateway/Web CRD filings (Forms NRF, U4, U5, BD)

Compliance Specialist (previous role)

Natixis Investment Managers
Boston
05.2023 - 03.2024

Investment Specialist

Merrill Edge
Lincoln
10.2022 - 04.2023
  • Managed inbound calls from Merrill Edge clients, facilitating money movement, executing trades, and guiding website navigation.

Assistant to the Campaign Manager

Eric Lesser for Lieutenant Governor
Hampden
01.2022 - 07.2022
  • Researched and organized information for databases and spreadsheets to support campaign initiatives. Curated and delivered talking points for Treasurer and fundraising team, enhancing communication strategies. Acted as initial point of contact for donors at fundraising events, fostering relationships and engagement.

Education

Master of Business Administration - Management

University of Hartford
West Hartford, CT
06-2022

Bachelor of Arts - Political Science and History, Minor: French

Keene State College
Keene, NH
05-2021

Skills

  • Deadline oriented
  • Prioritization and time management
  • Interpersonal and group facilitation
  • Extreme attention to detail
  • Policy writing and communication
  • Excel, Power BI, Power Query
  • FINRA Gateway, Web CRD

Timeline

Compliance Analyst

Natixis Investment Managers
03.2024 - Current

Compliance Specialist (previous role)

Natixis Investment Managers
05.2023 - 03.2024

Investment Specialist

Merrill Edge
10.2022 - 04.2023

Assistant to the Campaign Manager

Eric Lesser for Lieutenant Governor
01.2022 - 07.2022

Master of Business Administration - Management

University of Hartford

Bachelor of Arts - Political Science and History, Minor: French

Keene State College
THOMAS TOWNSEND