James Garlin
Compliance Audit Investigator @State of Nevada
Las Vegas, NV, US
EMAILS
MOBILE NUMBERS
+91 *********19
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WORK HISTORY
Mar 2024 — Present
Compliance Audit Investigator @State of Nevada
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Las Vegas, NV, US
Audit operations of financial investment advisors and broker dealers to monitor compliance with state & federal regulatory laws- Conduct indepth evaluations and interviews to identify contract violations, process deficiencies and potential fraud- Collect and review evidence including business/personal financial records, service contracts, bank statements and securities trading activity.
EDUCATION
1991
UNLV Lee Business School
B.S. in Business Administration, Accounting
SKILLS
Mortgage UnderwritingMortgage BankingLoansCreditUnderwritingBankingCredit AnalysisLoan OriginationCredit RiskRefinanceRisk ManagementFinancial AnalysisFinance
ABOUT JAMES GARLIN
Compliance Audit Investigator III at State of Nevada
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