Securities Compliance Cover Letter

In response to your job posting for securities compliance, I am including this letter and my resume for your review.

Previously, I was responsible for guidance on rules and regulations relating to trading, sales practices, and operational issues, as well as, provide transactional approvals and interpretation of internal compliance policies.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Experience with retail trading and customer account systems from clearing brokers such as NFS or Pershing strongly preferred
• Working knowledge of SEC/FINRA broker dealer compliance
• Good understanding of regulatory requirements and industry rules across Canada and the U.S
• Good understanding of trading practices, market structure, risk factors, and general characteristics associated with the various securities and investment strategies in order to perform day-to-day analysis
• Strong computer and technology skills and familiarity with industry software would be an asset
• Strong working knowledge of MS Applications including Word, Excel, Access, and PowerPoint
• Bench strength across areas of compliance including monitoring
• Strong knowledge of compliance issues for FX and Securities Lending including issues related to agency and principle trading and regulatory reporting

I submit this application to express my sincere interest in the securities compliance position.

In the previous role, I was responsible for compliance guidance to fixed income businesses with respect to the relevant compliance policies and procedures and relevant Japan laws, rules and regulations, which are mainly related to their day to day businesses, including sales and trading, and lending businesses.

My experience is an excellent fit for the list of requirements in this job:

• Self-starter able to work independently with minimal supervision within a team environment
• Experience working in a Compliance or Internal Audit department at a broker dealer or at an accounting firm or a securities regulator is preferred
• Strong knowledge of SEC and FINRA rules and regulations along with understanding of financial products, investment banking transactions, and the operations of a broker dealer
• Experience in having prepared and maintained rule gap analysis and risk assessments
• Experience in conducting FINRA Rule 3120 supervisory control system testing
• Should be accomplished user of Excel including pivot tables
• Advise business areas on firm policies and procedures, regulatory requirements and industry best practice
• Maintain and Oversee the Firm’s Fixed Income Sales and Trading activities cross-asset class coverage

I submit this application to express my sincere interest in the securities compliance position.

In my previous role, I was responsible for real time advice on general trading rules and regulations.

Please consider my qualifications and experience:

• Typically works under the direction of the SVP Regulatory Compliance
• Experience with Section 16 and corporate governance matters
• Experience with SCC and NYSE
• Significant relevant experience in the securities and investment advisory industries, preferably including a senior compliance officer role
• Excellent working knowledge of SFC rules and their application and an in-depth understanding of the regulatory framework
• Exceptional organisational and writing skills
• Escalate situations, as appropriate, to relevant divisional compliance offices and business unit managers
• Drive surveillance related projects with Technology Engineering team to support the work of SDC

I submit this application to express my sincere interest in the securities compliance position.

In the previous role, I was responsible for portfolio and relationship managers with ongoing information about market sentiment, trading environment, trading volume and price volatility.

Please consider my qualifications and experience:

• Have strong analytical skills and be able to connect the dots across issues and apply key learnings from one situation to other similar issues
• Possess a general understanding of the current regulatory environment and financial markets and / or securities regulations and rules
• Good Judgement – Know when and how to escalate issues
• MSc / BSc in Computer Science
• Thorough knowledge of the Securities Act of 1933, Securities Exchange Act of 1934 and related SEC rules and regulations
• Relevant experience working in a Control Room and Research Compliance department at a broker dealer
• Strong knowledge of FINRA rules and regulations applicable to the sell-side research business
• Strong understanding of financial products, investment banking transactions, and investment research

I submit this application to express my sincere interest in the securities compliance position.

In my previous role, I was responsible for interpretive and timely guidance on an ad hoc basis to business unit questions based on knowledge of regulatory rules, NEE Policies in regard to such rules and an understanding of business unit operations, including energy trading.

Please consider my experience and qualifications for this position:

• Associate or VP level
• Solid knowledge in investment banking products and services
• Departmental level lead experience and strong people management skills
• Solid knowledge in corporate banking products and services
• Experience in fixed income and derivatives products are preferred
• Working experience or internship in a Financial Services, Regulatory, Legal or Audit environment preferred
• Proficient in both verbal and written Chinese and English
• Managing multiple projects under tight deadlines and delivering solutions in a fast paced work environment