Christien Dupuis
@christiendupuis
Compliance-focused securities operations professional with regulatory expertise.
United StatesWhat I'm looking for
I am a compliance-focused securities operations professional with hands-on experience across trade desk operations, supervisory reviews, and regulatory support. I hold an MBA and FINRA/MSRB licenses, and I partner closely with advisors, clearing firms and regional leaders to ensure accurate trade processing, AML/OFAC compliance and timely resolution of exceptions.
I have led daily trade processing for a broad range of securities, supported platform rollouts, and conducted supervisory reviews for account openings and suspicious activity investigations. I bring strong technical familiarity with NFS clearing, Envestnet and Wealthscape, and a track record of improving procedures and supporting FINRA and FRBB examinations.
Experience
Work history, roles, and key accomplishments
Supervisory Principal
Citizens Securities
May 2024 - Present (1 year 5 months)
Conducts comprehensive supervisory reviews of new account openings and transactions to ensure adherence to FINRA, MSRB and SEC regulations; supports regulatory audits and resolves compliance issues with advisors and regional leadership.
Trade Desk Operations Specialist
Citizens Securities
Jun 2022 - May 2024 (1 year 11 months)
Led daily trade processing across diverse securities, coordinated with clearing firms and third-party platforms, and analyzed trade compliance reports to resolve inaccuracies for FINRA and MSRB adherence.
FIExecuted processing of securities trades and resolved margin, options, tax and cost-basis issues while delivering high-quality customer support and cross-functional issue resolution.
Education
Degrees, certifications, and relevant coursework
University of Rhode Island
Master of Business Administration, Business Administration
Completed a Master of Business Administration at the University of Rhode Island in August 2019.
UIUniversity of Rhode Island
Bachelor of Science, Accounting
Completed a Bachelor of Science in Accounting at the University of Rhode Island in April 2018.
Tech stack
Software and tools used professionally
Availability
Location
United StatesAuthorized to work in
Job categories
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