Kimberly Powell
Legal & Compliance Professional
- Role
- Senior Compliance Analyst at FINRA
- Location
- Washington, DC, US
- LinkedIn followers
- 500 followers
About Kimberly Powell
Legal and compliance professional experienced in Code of Ethics compliance system…
Experience
Senior Compliance Analyst
Apr 2017 — Present · Washington, DC, US
Code of Conduct compliance system administrator with a strong working knowledge of industry ethics requirements. Applies a working knowledge of ethical principles to various scenarios to offer guidance and recommend appropriate resolutions. Monitors junior team members and performs quality control reviews of assignments and facilitates scheduling and completion of assignments including broker and employee communications, account validation, brokerage account statement reviews, maintenance of electronic account system data feeds and broker-dealer reconciliations.
Education
University of Maryland Baltimore County
Bachelor’s Degree
Skills
- Financial Regulation
- Asset Management
- Financial Services
- Analysis
- Broker-Dealer
- Corporate Governance
- People Skills
- Fixed Income
- Corporate Law
- Mutual Funds
- Risk Management
- Due Diligence
- Legal Writing
- Investments
- Legal Compliance
- Securities Regulation
- Securities
- Aml
- Finra
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