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Also known as: Compliance Analyst, Financial Compliance Officer, Senior Financial Examiner, Junior Financial Auditor, Regulatory Affairs Specialist, Lead Compliance Examiner, Financial Investigator, Securities Compliance Analyst

Felix Bergman

Financial Examiner

[email protected]• +1-555-0123• San Francisco,

Professional Summary

Detail-oriented Financial Examiner with over 5 years of experience in enforcing compliance with financial regulations and ensuring the integrity of financial transactions. Proven ability to analyze complex financial records, identify discrepancies, and implement corrective measures. Strong mathematical skills complemented by a commitment to maintaining high standards of accuracy and compliance.

Experience

California Department of Financial Protection and Innovation

2019-06-01 — Present
Financial Examiner

Responsible for examining financial institutions to ensure compliance with state and federal regulations.

  • Conducted thorough examinations of financial records, identifying compliance issues and recommending corrective actions.
  • Collaborated with legal teams to address regulatory violations and enforce compliance measures.
  • Developed and delivered training sessions for staff on regulatory changes and compliance best practices.

National Securities Association

2017-01-01 — 2019-05-31
Compliance Analyst

Monitored and analyzed financial transactions to ensure adherence to securities regulations.

  • Performed detailed audits of trading activities, uncovering discrepancies and recommending improvements.
  • Assisted in the development of compliance policies and procedures to enhance operational efficiency.
  • Provided guidance to financial institutions on regulatory requirements and best practices.

Education

University of California, Berkeley

2013-09-01 — 2017-05-31
Bachelor's Degree in Finance

Stanford University

2018-09-01 — 2020-06-30
Master's Degree in Financial Compliance

Skills

Mathematics:Mathematics, Mathematik, Mathématiques
Instructing:Instructing, Unterweisen, Instruire
Financial Analysis:Financial Analysis, Compliance, Regulatory Standards
Attention to Detail:Attention to Detail, Accuracy, Record Verification
Regulatory Compliance:Regulatory Compliance, Financial Regulations, Securities Compliance

Certificates

Certified Regulatory Compliance Manager (CRCM)

2021-03-15
American Bankers Association

Certified Financial Examiner (CFE)

2022-08-10
National Association of State Boards of Accountancy

Felix Bergman

Financial Examiner

Key Skills

MathematicsInstructingFinancial AnalysisAttention to DetailRegulatory Compliance

Experience

Financial Examiner

California Department of Financial Protection and Innovation

Compliance Analyst

National Securities Association

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