Amelia Narikoso
42 Coral Ridge Drive, Suva, Fiji
+679 331 4827 | amelia.narikoso@email.com | www.amelianarikoso.com

PROFESSIONAL SUMMARY

Accomplished compliance professional with over 15 years of progressive experience in regulatory affairs, licensing, and registration management within highly regulated financial services environments. Proven expertise in developing and implementing comprehensive compliance frameworks, managing complex licensing portfolios, and ensuring adherence to FINRA, SEC, and state regulatory requirements. Strategic leader with demonstrated success in building high-performing compliance teams, streamlining registration processes, and fostering strong relationships with regulatory bodies and vendors.

PROFESSIONAL EXPERIENCE

Associate Director Compliance Licensing and Registration
Pacific Financial Services Group, New York, NY
January 2021 – Present

Lead comprehensive licensing and registration compliance program for multi-state financial services organization with 500+ registered representatives and investment adviser representatives. Oversee all aspects of regulatory licensing, continuing education, and registration maintenance across federal and state jurisdictions.

* Direct team of 6 compliance professionals responsible for managing licensing lifecycle from initial application through renewal and termination
* Implement automated license management system reducing processing time by 40% and improving regulatory accuracy to 99.8%
* Serve as primary liaison with FINRA, SEC, state securities regulators, and insurance departments on licensing matters
* Develop and maintain comprehensive policies and procedures governing registration requirements, Form U4/U5 filings, and disclosure reporting
* Conduct quarterly compliance risk assessments identifying licensing gaps and implementing corrective action plans
* Manage vendor relationships with third-party licensing service providers ensuring service level agreements and cost optimization
* Design and deliver compliance training programs on registration requirements, regulatory updates, and ethical standards to 500+ personnel annually
* Collaborate with Legal, Human Resources, and Business Development on licensing strategies supporting business expansion into new jurisdictions
* Prepare and present licensing metrics and regulatory reporting to senior management and Board committees

Senior Manager Licensing and Regulatory Compliance
Beacon Capital Advisors, Boston, MA
March 2017 – December 2020

Managed day-to-day licensing operations and regulatory compliance activities for broker-dealer and investment adviser with operations in 35 states. Coordinated registration filings and maintained relationships with state and federal regulators.

* Oversaw licensing for 300+ registered persons including initial registrations, transfers, renewals, and terminations
* Implemented compliance planning initiatives resulting in zero regulatory deficiencies during FINRA examinations
* Established continuing education tracking system achieving 100% on-time completion rates
* Developed risk and compliance reporting framework providing executive leadership with real-time licensing status
* Led readiness assessments for regulatory examinations and audits with consistently favorable outcomes
* Managed annual licensing budget of $1.2M including regulatory fees and vendor management costs
* Created standardized policies and procedures manual adopted firm-wide for licensing operations

Compliance Manager
Sterling Investment Partners, Chicago, IL
June 2013 – February 2017

Supported licensing and registration functions for regional investment firm. Administered compliance programs related to regulatory affairs, vendor management, and legal compliance.

* Processed 200+ annual licensing applications and amendments ensuring timely submission and approval
* Monitored regulatory changes from FINRA, SEC, and Consumer Financial Protection Bureau implementing necessary updates
* Coordinated compliance training sessions on ethics, regulations, and firm policies
* Maintained licensing databases and prepared regulatory reporting for management review
* Assisted with compliance risk assessments and interim management of special projects
* Developed vendor relationships management protocols improving service delivery and cost efficiency

Compliance Analyst
Meridian Securities Inc., Philadelphia, PA
August 2010 – May 2013

Provided analytical and administrative support for compliance department of mid-sized broker-dealer. Assisted with licensing administration, regulatory filings, and compliance monitoring activities.

* Processed Form U4/U5 filings and state registration applications with 98% accuracy rate
* Maintained continuing education records and coordinated CE requirements for registered representatives
* Conducted preliminary reviews of regulatory correspondence and disclosure events
* Assisted with preparation of regulatory reports and compliance documentation
* Supported compliance examinations and audit readiness initiatives

EDUCATION

Master of Business Administration, Finance Concentration
University of Hawaii at Manoa, Honolulu, HI
Graduated: May 2010

Bachelor of Science in Business Administration, Finance Major
University of the South Pacific, Suva, Fiji
Graduated: May 2008

CERTIFICATIONS AND PROFESSIONAL DEVELOPMENT

* Series 7 - General Securities Representative
* Series 24 - General Securities Principal
* Series 63 - Uniform Securities Agent State Law
* Series 65 - Uniform Investment Adviser Law
* Certified Regulatory Compliance Manager (CRCM)
* Anti-Money Laundering Certification

CORE COMPETENCIES

Regulatory Compliance | Licensing & Registration | FINRA Regulations | SEC Compliance | Risk and Compliance Reporting | License Management | Regulatory Affairs | Compliance Training | Legal Compliance | Vendor Management | Policies and Procedures | Regulatory Reporting | Compliance Risk Assessment | Ethics | Compliance Planning | Continuing Education | Financial Industry Regulatory Authority | Consumer Financial Protection Bureau | Legal Advice | Readiness

PROFESSIONAL AFFILIATIONS

* National Society of Compliance Professionals (NSCP), Member
* Financial Services Institute (FSI), Compliance Committee Member

TECHNICAL PROFICIENCIES

Licensing Management Systems | CRD/IARD Systems | Compliance Management Software | Microsoft Office Suite | Regulatory Databases | Risk Assessment Tools