Halina Yevtukh
@halinayevtukh
Senior compliance and supervision leader specializing in broker-dealer, AML and regulatory risk.
United StatesWhat I'm looking for
I am a senior compliance and supervision professional with extensive broker-dealer and bank experience, focused on regulatory risk, AML, and process improvement. I have led review programs, regulatory exam coordination, and supervisory approvals across large firms, driving automation, reporting enhancements, and stronger control environments.
Throughout my career I partnered with sales, operations, legal and senior management to resolve suitability and compliance issues, supported clearing conversions, and delivered training and escalation management. I bring a track record of project delivery, regulatory examination support, and measurable improvements in control, efficiency, and customer experience.
Experience
Work history, roles, and key accomplishments
Sales Supervision Principal
PlanMember Securities Corp
May 2023 - Mar 2024 (10 months)
Built supervisory controls and led reviews/approvals for business transactions, improving compliance with AML and firm policies while advising senior management on regulatory and operational risks.
PILed central review and process improvement initiatives across operations, compliance and sales, automating reporting and ensuring regulatory and firm controls during account approvals and trade reviews.
Compliance Administrator II
NatCity Investments
Feb 2007 - Feb 2010 (3 years)
Coordinated regulatory examinations and managed escalation/tracking of findings, developed supervisory reporting and compliance testing plans to mitigate regulatory and business risk.
Compliance Assistant
FTN Midwest Securities
Jan 2005 - Feb 2007 (2 years 1 month)
Executed AML and compliance reviews of research, trade tickets and employee accounts, managing 500 personal accounts and 1,300 client files with no FINRA examination issues.
Education
Degrees, certifications, and relevant coursework
UAUniversity of Akron
Bachelor of Business Administration, Finance
Activities and societies: Member of Golden Key International Honour Society and Beta Gamma Sigma; leader of New Business Law Clinic Financial Strategy Team
Bachelor of Business Administration in Finance with a minor in International Business; honored as National Dean’s List and recipient of multiple academic scholarships and honors.
Availability
Location
United StatesAuthorized to work in
Job categories
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