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1401 S. 1525 W.
Syracuse, Utah 84075 Home: 801-525-2940 Cell: 801-557-7259
staci_compagno@comcast.net

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Be an integral part of a team that continues to strive for excellence,

teamwork and efficiency, with 13 years in the Financial Securities
Industry and a commitment to excellence regarding Compliance and
empowering employee success.

º


Ñ
 
 Beneficial Financial Group, Salt Lake City, Utah
2008- 4/2010
Ensure compliance with legislative and regulatory requirements by
anticipating needs and proactively identifying solutions. Maintain a
surveillance program for regulatory functions including:
‰| Created and implement the training and audit of agents, registered
representatives, investment advisors and home office personnel to
ensure compliance with all securities and insurance requirements.
‰| èeveloped and performed all annual compliance meetings for the firm
in all offices.
‰| èevelopment of AML monitoring systems and thresholds.
Prepare and maintain the Firms Policy and Procedure Manuals in accordance
with regulatory developments. Liaison to various departments and vendors.
Complete annual 3012 requirements and reporting.

   
, Insphere Securities Inc, Salt Lake City, UT (formerly
Beneficial Financial Group)
4/2010- current
Primary responsibilities remain the same as with Beneficial Financial Group.
In addition during the restructuring of the corporation my duties expanded to
complaint resolution, selling agreement review.




Zions èirect, Salt Lake City, Utah    
1998-2008
‰| èeveloped an effective training program for newly hired registered
representatives and home office employees.
‰| Provided ongoing support to all Regional Sales Managers with new
regulatory requirements and general efficiency promoting internal
and external learning.
Process and maintain FINRA/SEC licensing and registrations for the firm in
addition I completed FINRA 3010 compliance testing and email review, various
internal audits, training of annual meetings. Coordinate with FINRA /SEC
regulators during field audits. Assist Operation Manager in duties of
supervision, and daily operational requirements.

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UBS PaineWebber, Salt Lake City, Utah      
1996-1998
Perform back office functions including new account set up and review,
cashiering functions, margin/credit review. Assist Operations manager as
needed with audits, initial review and creating efficiency within paper flow
of the operations department.

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With my dedication and subject matter expertise along with my goal of

assisting an organization to attain functionality and success, together we
could succeed.

 
 


Ú| 13 years of experience in all aspects of the financial sector,

Ú| Series 7, 63, 24,
Ú| Strong organizational skills
Ú| Excellent problem solving skills
Ú| Great Interpersonal skills
Ú| èesire and enjoy training of employees and being able to empower them
to succeed


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Microsoft, Excel, PowerPoint, Adobe Professional, Net Exchange Pro,

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