PROFESSIONAL PROFILE
Compliance Analyst/Administrative & Client Service Specialist/Team Leader– A specialist with over 10 years experienced in client relations, on-boarding, Compliance and Operations duties with great leadership skills. An effective communicator and critical thinker with a track record in a client focused environment and documentation. Extremely reliable with a flexible attitude.
EXPERIENCE
New York Life/Regulatory Support and Oversight 10/2022- Present
Monitor Code of Ethics
Review pre-clearance and blackout violations
Conduct phone/Zoom training for pre-clearance violators
Review and approve Initial Holdings Report for new access person
Run various reports on Protegent PTA
YAI/Direct Support Professional 02/2020 - Present
Administer daily medications and taking vital signs
Provide guidance and counselling for residents with mental health disabilities
Performed administrative duties and documentations for 10 residents (ie doctor’s appointment, access ride, charts)
Acting leader on assigned shifts in absence of supervisors
Cerity Partners/ Legal/Compliance Administrative Assistant 07/2021-10/22
Review and Countersigned Agreements via DocuSign then upload them to Salesforce
Run KYC in Salesforce, CLEAR and OFAC
Approve affirmations and disclosures in My Compliance Office
Assign Affirmations to employees Quarterly and Annual Affirmation
Onboard new employees and assign training and credentials in MCT
Update the company Restricted List and send out as needed
Set up Zoom call for new employees monthly
Assign, review and approve affirmations in SCT/MCT
Maintain and update the company Restricted List and distribute
Monitor Code of Ethics Reporting
Perform due diligence and conduct screening of transactions against all applicable restricted lists.
Assist with regulatory examinations, audits, and inquiries
Strategies for Wealth/Compliance Assistant to CO 12/2016-06/202
Supported Chief Compliance Officer with office policies, procedures and administrative tasks including sensitive information
Reviewed, logged and managed deposit checks in client’s account via mobile app and bank
Monitored client’s account in Netx360 for progress and approval
Coordinated Operations and Compliance Books and Records for annual Broker Dealer/FINRA audit
Reviewed and completed first level approvals for marketing materials, correspondence and seminars via Pinpoint, Social ware and STAR Compliance
Ordered business cards for all Reps and staff ensuring that disclosures and designations are compliant with their profile
Worked with Chief Compliance Officer with regulatory examinations, inquiries, investigations, and projects
Monitored and ensured that operations are in accordance with FINRA and the firms Compliance Manual
Investigated any issues brought up in Compliance meeting or Management meeting
Reception backup. Answered multiple phone lines, scheduled conference rooms
Delta Connections/Flight Attendant 6/2016-12/2016
Complied with all aviation rules and regulations for safety and protection
Submitted analytic reports concerning flight incidents
Demonstrated safety procedures and assist passengers during emergency situations
Greeted and directed passengers to assigned seats
Served snacks, meals and beverages
Made announcements on PA systems
Guardian Life Insurance / Consultant-Security Analyst/Customer Service Liaison 7/2015-9/2015
Updated and maintained work queues within tight deadlines
Termination of staff upon request
Park Avenue Securities - Team Lead/Client On-Boarding Specialist 3/1999-12/2014
Supervised, trained, and mentored a group of 5-7 staff members
Opened new accounts, completed documentation including KYC/AML during account review
Processed clients and vendor payments and deposit
Updated clients account, name change, address, model change
Thorough knowledge of account types including managed accounts, products, and services
Created and maintained relationships at 3rd party program managers to facilitate the processing of company business
Interacted and supported Sales Reps, Compliance Officers, Operations staff, Program Managers and Clients
Occasional Travel for training, testing and emergency
EDUCATION
Certificate Career related courses
Brokers Operations and Securities Industry
Extensive Flight Attendant Training
SOFTWARE
MS Word and Excel, SharePoint, BCI Compliance Investigation Software, NETX360, Mutual Funds Database