Bernie Cruise
Principal Examiner, Sales Practice @FINRA
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WORK HISTORY
Principal Examiner, Sales Practice @FINRA
Kansas City, MO, US
Conduct targeted reviews aimed at providing investor protection and promoting market integrity. • Ensure compliance with industry rules and guidelines by reviewing firm written supervisory procedures, conducting interviews with firm and branch representatives, analyzing documentation, and suitability verification. • Document procedures for processes spanning multiple platforms, consolidating them in to one user-friendly online Operations Manual. • Utilizing extensive industry knowledge to mentor, train and educate fellow employees.
EDUCATION
University of Missouri-Columbia
Bachelor's degree, Food Service and Lodging Management
SKILLS
ABOUT BERNIE CRUISE
Financial Industry professional with significant experience involving FINRA examinations and regulations, as well as Anti-Money Laundering Analysis and Fraud Investigation. Knowledge leader, mentor and educator of compliance initiatives, including interviewing firm personnel, analysis of systems, and investigations targeting market integrity and customer protection. Demonstrated skills in conducting reviews to ensure firms have dealt fairly with customers, executed orders appropriately, and have not charged excessive commissions or fees. Previous experience in developing queries to prevent fraud and creating methods to streamline processes and increase cost savings.• Fraud Detection/Investigation • Anti-Money Laundering • Net Capital Compliance• Financial Integrity • NetX360, DST, AWD• LexisNexis • Account Processing • Operational Compliance• Salesforce • Microsoft Office
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