Nicholas J. Inglese 20 Summerfield Ct.

, Deer Park, NY 11729 Home: 631-940-5884 Cell: 516-527-2699

ni15c3646@westpost.net

PROFESSIONAL OBJECTIVE To obtain a challenging position assisting management in achieving their goals t hrough excellence in compliance and resource management. PROFILE FINRA Supervisor/Branch Manager for CFS Investments, Inc., the retail investmen t subsidiary of New York Community Bank, during the period of expansion from 20 to 270 branches; Knowledgeable in many FINRA rules and regulations Reputation for fairness and skill enforcing compliance best practices with inve stment representatives Known for discerning instincts and judgment along with decisiveness and collegi ality Hands-on contributor with a track record of pitching in to navigate difficult a nd stressful situations Personable, likable, emphatic when necessary: well respected by management, pe ers, supervisees and customers WORK EXPERIENCE HIGHLIGHTS Compliance Officer New York Community Bank/CFS Investments, Inc. Westbury, NY Aug. 1997Feb. 2011 Supervised 40+ dedicated representatives and 80 licensed branch employees with a track record of strong performance and retention; Responsible for reviewing the complaint and disciplinary histories of potential hires as Financial Consultants as to whether they should be hired. Conducted non-OSJ Branch reviews to ensure business is conducted within regulat ory guidelines and the companys written procedures Gathered documents and was point person for both internal and external audits Developed and delivered pre-licensing classes for Life Insurance and Series 6 Responsible for the drafting, reviewing and implementing new policy and procedu res when necessary and update the policy and procedure manual annually. Contributed to the writing of CFSIs first BSA/AML Manual and responsible for su bsequent updates Responsible for customer complaint documentation and resolution Conducted Trade reviews to assure the recommended investment was consistent wit h the customers suitability information Provided advice to Financial Consultants concerning complex customer issues Responsible for potential back-office pre-approval of certain higher risk custo mer transactions Developed and delivered sales training to new representatives Reviewed advertising and marketing materials Recommended and monitored product and vendor selection Reviewed incoming and outgoing correspondence as well as e-mail Researched FINRA regulations to ensure compliance Liaison with management on policy development Key Accomplishments Managed Office of Supervisory Jurisdiction for CFS Investments through three di fferent broker/dealers: Fiserv Investor Services, PFIC Securities and Essex Nat ional Securities Acknowledged for critical contributions to the successful integration of three broker/dealer conversions Managed complex issues to cause successful adaption of disparate cultures and p ractices Conducted acclaimed training programs for both licensing and investment sales f

or several hundred bank employees, many of whom became major contributors in the CFSI investment program Financial Consultant June 1996Aug. 1997 Green Point Savings Bank Oceanside, NY Served bank customers by offering them investment products that would potential ly help them achieve their financial goals while adhering to their investment ob jectives Salesman June 1995-June 1996 Womack Material Handling Farmingdale, NY Solicited storage, moving and freight companies for heavy equipment sales Financial Consultant June 1993-June 1995 ABN AMRO Investment Services Long Beach, NY Served bank customers by offering them investment products that would potential ly help them achieve their financial goals while adhering to their investment ob jectives Stockbroker Sept. 1991-June 1993 Royce Investment Group Woodbury, NY Offered value priced NASDAQ listed equity securities to the general public EDUCATION AND CREDENTIALS Education: Hofstra University Uniondale, NY Masters of Business Admin istration Management 1990 St. Johns University Jamaica, NY Bachelor of Science Communications 1 982 Licenses: Series 7 General Securities Series 24 General Principal Series 53 Municipal Principal Series 63 Uniform Securities Agent New York State Life and Health Insurance Computer Skills: MS Office including Excel, Word, PowerPoint and Publisher.