Tim Dwinal

WORK HISTORY

EDUCATION

SKILLS

ABOUT TIM DWINAL

I am a compliance manager (Series 7 and 24) with experience interpreting existing and new regulations, developing policies and procedures related to FINRA, SEC, NFA, CTFC, OCC, FCA and other regulatory requirements for investment advisors and broker-dealers including leading compliance teams. I am considered an industry thought leader in marketing and sales regulation and technology adoption. I am seeking an opportunity that can leverage my subject matter expertise while continuing to broaden my knowledge into generalist compliance officer roles. In addition to my core compliance role, I am an experienced program manager for compliance technology projects with budgets ranging from -$1M+ that impacted user communities ranging from 50 to over 1,600 employees across multiple global business lines. I am at my best working in a collaborative environment that seeks new and improved ways of doing things while actively challenging conventional thinking to tease out innovative and compliant business operation solutions that result in the development of practical policies and procedures for regional or global implementation. Specialties include:• Policy and procedure development• Risk assessment and mitigation• Rule interpretation, business guidance, and support• Sales and marketing compliance• Internal controls and testing• 1933 and 1940 Acts• FINRA Conduct Rules