Gail B. Smith12 Sunset Lane

Succasunna, NJ 07876

Cell phone: 973 580 9633 Email: gailjazzers@aol.com

Skills:Proficient in Microsoft OfficeProficient in use of computers, tablets, smartphones, etc.Proficient in FINRACreative with attention to detailsTeam Player with Leadership qualities

Employment ExperienceSenior Compliance Associate 2003 to 2014Prudential Financial - Iselin, NJ

*Due Diligence on Broker Dealer Regulations Verified that Broker Dealers were still active with FINRA. *Monitoring and Testing of Sales Representatives Verified that Sales Representative were properly licensed, registered, and appointed at point of sale and qualified to receive payments.

*Licensing of Outside Representatives Monitored licensing of Third Party Brokers in the different stages of the sale. Communicated with Brokers on licensing issues and on resolving these issues. Appointed Third Party Brokers for commission purposes.

*Policy and Procedures Expanded my knowledge of regulatory requirements and worked with management to perform training of personnel on new policies and procedures.

Administrative Assistant 1995 to 2003Prudential Financial – Florham Park, NJ

*Managing Principal’s office Met with principals regularly to arrange meetings, travel arrangements. Prepared expense vouchers, viewed mail, and miscellaneous projects.

*Meeting Preparation Scheduled and monitored the calendars, and resolved conflicts. Scheduled conference rooms, and printed handouts, and assisted as needed.

*Attendance Coordinator

Monitored attendance for the department employees, entered data into payroll system.