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Yyyyyy x. yyyyyy

7114 Little Neck Parkway Floral Park, XXXXXX xxxxxx (xxx-xxx-xxxx




Hiring Agent Name

Compaxxxxxx Name


City/State/Zip Code




I am exploring a new career opportunity within a challenging [ Insert Job Title ] role, and I believe that I can make a positive contribution to your success.


To acquaint you with my background, I can offer experience in Legal / Compliance Operations, Regulatory Affairs, Financial Services, Strategic Analysis / Planning, Trends Tracking, Legal Research, Contract Drafting / Negotiations, and Case Management. I am also highly skilled in Team Building / Leadership, Metrics Development, Training / Development, Exam Preparation / Coordination, Data / Recordkeeping, Communications, and Conflict Resolution.


Currently, as a Consultant in Compliance and Regulatory Affairs for MassMutual Financial Services, I expertly prepare and coordinate regulatory exams, including reviewing and organizing documents for an examination team, preparing staff for meetings with examiners, and maintaining all records. Within this role, I also successfully investigate, research, and respond to inquiries from FINRA, SEC, securities regulatory agencies, and state insurance regulatory agencies in connection with customer complaints, market manipulation, insider trading, and trade reporting.


A sampling of my achievements include:


  Actively monitoring regulatory developments and market trends.

  Accurately reviewing, processing, and filing FINRA 4530, U4, and U5 forms.

  Collaborating with colleagues to prepare formal responses to various findings letters.

  Developing metrics for regulatory compliance programs and coordinating inputs for reporting metrics.


To complement this experience, please note that I earned a Master of Business Administration from the Xxxxxx Institute of Technology and a Bachelor of Arts in Paralegal Studies from Morris Brown College. I also am recognized as a Licensed Notary Public in the State of Xxxxxx.


[ Suggestion! Optional! Address Here Axxxxxx Skills / Qualifications / Achievements Relevant to the Job Posting. REMOVE this before sending]. As this is just an example of my abilities, please refer to my enclosed resume for additional experience in Assistant Vice President of Legal / Compliance, Senior Paralegal, Senior Legal Assistant, and Legal Administrator roles for such high-profile employers as Credit Suisse Securities, LLC, Morgan Stanley Dean Witter, and Bear, Stearns & Compaxxxxxx, Inc., among others.


As a proven leader, you will find that I am positioned to deliver both immediate and long-term results with a continued commitment to exceeding your team s goals. I am eager to discuss how my qualifications uniquely match your current and future needs, and look forward to interviewing with you soon.






Yyyyyy x. yyyyyy

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