John H. Kim Resume
John H. Kim
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EDUCATION Bachelor of Science, Mathematics
University of Maryland, College Park
Concentration: Mathematics
GPA: 3.3
EXPERIENCE
Regulatory Analyst at FINRA June 2018 - Present
Rockville, Maryland
• Collaborate with major brokerage firms and exchanges to analyze big volumes of trade data in the Over-the-Counter (OTC) markets for U.S. equities – minor exposure to SQL.
• Protect investors and ensure market integrity by conducting reviews and drafting formal recommendations concerning securities firms that are found to have violated FINRA/SEC rules and regulations.
Gateway Rep at FINRA (Contractor Conversion) September 2016 – May 2018
Rockville, Maryland
• Provided support to broker dealers and investment advisors seeking to register with FINRA and other major stock exchanges.
• Review and transcribe investor complaints to determine potential impact to investors and securities markets to ensure investor concerns are well documented.
• Work WITH CRM Software AND FINRA’s proprietary Web CRD/IARD/Firm Gateway systems.
EXTRA- CURRICULAR ACTIVITIES
Math Club at UMD Spring 2014
• Collaborate with peers to proof-read problems in drafts of new Calculus textbooks projected to be used for teaching in the University.
LANGUAGES / FRAMEWORKS
Python, C, MATLAB
SOFTWARE
MS-Office (Word, Excel, PowerPoint, Outlook), Adobe Suite, Mac OS X
RELEVANT COURSEWORK
Computer Science: Introduction to C Programming, Numerical and Computational Methods
Mathematics: (Fourier) Transform Methods for Scientists and Engineers, Linear Algebra
John H. Kim
------------ | ------------
EDUCATION Bachelor of Science, Mathematics
University of Maryland, College Park
Concentration: Mathematics
GPA: 3.3
EXPERIENCE
Regulatory Analyst at FINRA June 2018 - Present
Rockville, Maryland
• Collaborate with major brokerage firms and exchanges to analyze big volumes of trade data in the Over-the-Counter (OTC) markets for U.S. equities – minor exposure to SQL.
• Protect investors and ensure market integrity by conducting reviews and drafting formal recommendations concerning securities firms that are found to have violated FINRA/SEC rules and regulations.
Gateway Rep at FINRA (Contractor Conversion) September 2016 – May 2018
Rockville, Maryland
• Provided support to broker dealers and investment advisors seeking to register with FINRA and other major stock exchanges.
• Review and transcribe investor complaints to determine potential impact to investors and securities markets to ensure investor concerns are well documented.
• Work WITH CRM Software AND FINRA’s proprietary Web CRD/IARD/Firm Gateway systems.
EXTRA- CURRICULAR ACTIVITIES
Math Club at UMD Spring 2014
• Collaborate with peers to proof-read problems in drafts of new Calculus textbooks projected to be used for teaching in the University.
LANGUAGES / FRAMEWORKS
Python, C, MATLAB
SOFTWARE
MS-Office (Word, Excel, PowerPoint, Outlook), Adobe Suite, Mac OS X
RELEVANT COURSEWORK
Computer Science: Introduction to C Programming, Numerical and Computational Methods
Mathematics: (Fourier) Transform Methods for Scientists and Engineers, Linear Algebra