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Christien Dupuis

@christiendupuis

Compliance-focused securities operations professional with regulatory expertise.

United States
Message

What I'm looking for

I am seeking a role in securities operations or compliance where I can apply regulatory expertise, improve processes, and support audits while collaborating with advisors and clearing partners.

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

CS
Current

Supervisory Principal

Citizens Securities

May 2024 - Present (1 year 4 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.

CS

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.

Education

Degrees, certifications, and relevant coursework

UI

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.

University of Rhode Island logoUI

University 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

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Christien Dupuis - Supervisory Principal - Citizens Securities | Himalayas