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Bruce Boyle MobilePHONE NUMBER AVAILABLEStreet Address  EMAIL AVAILABLEEXECUTIVE SUMMARYExperienced and knowledgeable brokerage/investment advisory compliance and operations executive with multiple years of industry related experience. Extensive product knowledge, excellent management and personnel evaluation skills, and highly developed interpersonal skills. Strong functional knowledge of industry regulatory rules and requirements. Adept at team building and the motivating and mentoring of staff. Able to understand strategic business needs, create solutions, and accomplish specific goals. FINRA licenses currently held: Series 4, 7, 24, 27, 52, 53, 63, 99, SIE PROFESSIONAL EXPERIENCESALOMON WHITNEY, LLC a/k/a SW Financial Melville, NY November 2019  May 2023Chief Compliance Officer, Operations Principal, AML Officer Responsible for the daily operation and compliance of SW Financial (SWF), which included the oversight of operations, compliance, sales, and trading. Updated Compliance Manual and WSPs as necessary to reflect current policies and procedures of SWF, including SEC Rule Reg BI. Implemented a comprehensive, risk-based AML compliance program. Provided periodic industry and firm related compliance and operational training to staff. Responsible for the maintenance of all registered representative and supervisory principal regulatory registration and continuing education requirements. Responsible for Branch office reviews. Supervision and due diligence performed on alternative investment products, including pre-IPO offerings and various private placements. Acted as Corporate Representative for various firm arbitrations. ETICO PARTNERS LLC f/k/a M.J. WHITMAN LLC New York, NY January 2018  September 2018Chief Operating Officer, Chief Compliance Officer, AML Compliance Officer (Consultant) Retained in order to oversee the operational transition as well as to provide stability and a sense of continuity due to ownership change from M.J. Whitman, LLC (MJW) to Etico Partners, LLC (Etico). Modified Compliance Manual and WSPs to reflect policies and procedures of Etico. Implemented a solid compliance foundation that will enable a smooth transition for a less experienced compliance officer. Responsibilities also included various functions for DLG Wealth Management LLC, Eticos affiliated investment advisor. The aforementioned responsibilities included, but were not limited to, various AML reviews and electronic correspondence review.M.J. WHITMAN LLC New York, NYJuly 2000  January 2018Chief Operating Officer, Chief Compliance Officer, AML Compliance Officer Responsible for the daily operation of the broker-dealer, which included the oversight of the operations, compliance, sales, and trading departments, domestic and international. Developed and implemented a comprehensive compliance program that helped to instill heightened awareness and sensitivity toward compliance on a firm wide basis. Provided periodic industry and firm related compliance and operational training to staff. Created and implemented a comprehensive, risk-based AML compliance program. Was responsible for the maintenance of all registered representative and supervisory principal regulatory registration and continuing education requirements. Responsibilities also included various functions for Third Avenue Management LLC. Co-project manager in the implementation of Third Avenues order management system, Charles River Trader. Bruce EMAIL AVAILABLENATIONAL INVESTOR SERVICES CORP, TD AMERITRADE New York, NY 1998 - 2000Vice President-OperationsResponsible for the management of the operations department at this self-clearing, high trade volume, discount broker-dealer. The department was comprised of approximately fifty (50) employees, and included the settlements, reorganization, dividend, buy-in, and stock loan departments. Member of various internal committees and focus groups.WEISS, PECK & GREER LLC New York, NY1992 - 1998Vice President-OperationsResponsible for the management of a four (4) member operations cashiering department at this self-clearing broker- dealer. Responsible for the daily settlements process, which included domestic and international trades. Managed the end of day financing process for the firm. End of day financing included the analysis of daily cash flows; including all trade settlements, stock lending activity, dividend and corporate action payments, client fund transfers, and the subsequent determination to either secure an overnight bank loan or purchase an overnight cash equivalent with excess funds.SWISS BANK CORPORATION New York, NY1992Dividend AssociateYAMAICHI INTERNATIONAL (AMERICA) INC New York, NY 1990  1992Operations AssociateSMITH BARNEY HARRIS UPHAM & CO New York, NY1988  1990Operations AssociateEDUCATIONUNIVERSITY OF SCRANTON Scranton, PAGraduated 1988B.S. ManagementSYSTEMS EXPERIENCE Microsoft Office Suite of products Multiple back-office clearing systems (JP Morgan, National Financial, etc..) Charles River Trader (trading, portfolio management, compliance) Global Relay (e-mail review and storage) Thomson One (trading, account management, back-office, compliance)