ILIANA G. KLINE
San Diego
Summary
Highly skilled audit and compliance professional with expertise in the financial services industry and regulatory compliance. Effective communicator and team leader, focused on organizational efficiency and interpersonal relationships. Demonstrated project management, coordination, and execution skills for successful outcomes. Proven track record as a leader, consistently developing high-performing teams to achieve exceptional results.
Overview
28
28
years of professional experience
1
1
Certification
Work History
ASSISTANT VICE PRESIDENT, COMPLIANCE TESTING
LPL Financial
01.2017 - Current
- Managed testing engagements for the compliance testing department for over six years with identification of meaningful findings and improved risk management for the firm
- Led the testing team to complete the annual testing program through a period of attrition and uncertainty
- Directed teams in performing regulatory, compliance, and operational risk reviews to ensure compliance with FINRA Rules 3120 and 3110, Direct Market Access, SEC Rule 206(4)-7, and the National Futures Association (NFA) questionnaire
- Identified and assessed operational risk issues, assigned risk ratings, and made recommendations for process improvement
- Trained team members to prepare, conduct, and complete testing of controls by following department policies and procedures
- Managed the closure verification testing program to confirm and validate that previously identified findings and issues were appropriately remediated, with a higher priority placed on ensuring complete, accurate, and timely completion of regulatory commitments in accordance with Consent Order agreements
- Established and maintained a strong working relationship with all levels of management and personnel at the firm
- Communicated adverse testing results with various levels of management and staff across the firm
- Coordinated and implemented additional ad hoc projects, as assigned
SENIOR INTERNAL AUDITOR, INTERNAL AUDIT
LPL Financial
01.2015 - 01.2017
- Planned and managed compliance and operations internal audits, including pre-implementation reviews, risk assessments, audit planning, audit testing, control evaluation, report drafting, issue remediation, and management of costs and timing of assigned projects
- Demonstrated professional knowledge of auditing practices and procedures to partner with business units and other auditors as part of the internal audit department's controls report testing program to test, report, and offer guidance on the design and effectiveness of management controls
- Wrote, developed, and assembled detailed working papers and audit reports to provide sufficient evidence of work completed in the execution of the audit program, including testing and analyzing results, and ensuring that all findings include appropriate management action plans
- Provided training, coaching, and formal evaluations of internal audit staff in conducting audits and other audit-related issues
- Performed oversight reviews of audit working papers prepared by assigned staff members to ensure satisfactory completion
SENIOR COMPLIANCE ADVISOR/TEAM LEAD-BRANCH EXAMS
Commonwealth Financial Network
01.2006 - 01.2014
- Conducted more than three hundred announced and unannounced annual branch office inspections of Commonwealth Advisor offices
- Reviewed surveillance reports including the Breakpoint, Exchange Traded Funds (ETF) and Advisory Accounts Reports
- Serviced incoming calls, e-mails, and faxes for the Compliance Department
- Trained Compliance Advisors to efficiently prepare, conduct, and complete audits applying hands-on advice to Commonwealths' auditing policies and procedures
- Drafted manuals and procedures to standardize and enhance the audit program
- Provided Compliance presentations at the firm's National Conference, Road Shows, and Teleconferences
COMPLIANCE ANALYST/SENIOR COMPLIANCE EXAMINER, BRANCH EXAMS
LPL Financial
01.2001 - 01.2005
- Conducted more than five hundred announced and unannounced annual branch office inspections for OSJs, Non OSJs, and advisors under Home Office Supervision
- Collaborated with the Transitions Department to thoroughly review applications of prospective managers, advisors and licensed assistants
- Oriented new branch office managers on policies and procedures and trained advisors or updated regulatory requirements
- Determined the permissibility of advisors' outside business activities taking into consideration FINRA and SEC regulations and the firm's policies and procedures
- Trained compliance examiners to efficiently prepare, conduct, and complete audits applying hands-on advice to the firm's auditing policies and procedures
INVESTOR INFORMATION SALES ASSOCIATE/SERVICE SPECIALIST
Zurich Scudder Investments and Scudder Wiesel Capital, LLC
01.1998 - 01.2001
- Assisted clients with account inquiries, financial transactions, and requests for product information
- Provided proactive feedback and information to co-workers and managers to improve efficiency of shareholder calls
- Trained and mentored new associates on investment products, services, operations, and computer systems
JUNIOR STOCKBROKER/STOCKBROKER
Morgan Stanley Dean Witter, Inc.
01.1997 - 01.1998
- Obtained appointments for Advisors by cold-calling potential investors
- Sold stocks/bonds, mutual funds, FDIC-insurance CDs, and tax deferred annuities
Education
Bachelor of Arts Degree - Political Science, Economics
San Diego State University
Skills
- Relationship Management
- Financial Services Regulations
- Auditing
- Controls Testing
- Time Management
- Organization
- Writing and Drafting Reports
- Attention to Detail
- Problem Solving
- Public Speaking
Certification
- FINRA Series 7
- FINRA Series 24
- FINRA Series 63
- FINRA Series 65
- FINRA Series 53
Languages
Spanish
Native or Bilingual
Timeline
ASSISTANT VICE PRESIDENT, COMPLIANCE TESTING
LPL Financial
01.2017 - Current
SENIOR INTERNAL AUDITOR, INTERNAL AUDIT
LPL Financial
01.2015 - 01.2017
SENIOR COMPLIANCE ADVISOR/TEAM LEAD-BRANCH EXAMS
Commonwealth Financial Network
01.2006 - 01.2014
COMPLIANCE ANALYST/SENIOR COMPLIANCE EXAMINER, BRANCH EXAMS
LPL Financial
01.2001 - 01.2005
INVESTOR INFORMATION SALES ASSOCIATE/SERVICE SPECIALIST
Zurich Scudder Investments and Scudder Wiesel Capital, LLC
01.1998 - 01.2001
JUNIOR STOCKBROKER/STOCKBROKER
Morgan Stanley Dean Witter, Inc.
01.1997 - 01.1998
Bachelor of Arts Degree - Political Science, Economics
San Diego State University