Manager Training

Jessica Coste

**** ********** ******* ***** *** 2A, Midlothian, VA 23113

804-***-**** (h) *********@*******.*** 804-***-**** (m)

Compliance Analyst

Financial Services

. Credentialed professional with seven years experience in financial

services, ensuring compliance not only with local, federal and state

laws, but also with company policies and procedures, through meticulous

research, documentation, and corrective action.

. Minimize fines and audit issues by training staff in compliance issues.

. Research and analyze all state, local, and federal laws and regulations

for possible changes; and review all policies and procedures for

contradictions, trends, and updatable material.

. Analyze, address, and resolve compliance issues across the corporation

through diligent monitoring.

. Archive all work for easy accessibility and report compilation for each

reporting authority.

. Manage multiple, simultaneous projects and tasks, meeting demanding

deadlines.

. Proficient with Microsoft environment (Word, Excel, Access, WordPerfect,

Office 2000,Windows XP, PowerPoint), Rumba, BETA, Imagio, and Orchestria.

. Bilingual (English/Spanish), relied upon to translate financial

documents.

Education

Bachelor of Science, Psychology, Excelsior College, Albany, NY. Anticipated

March, 2011

Credentials

Life/Health, Variable Annuity, and Insurance Licenses

Series 7, 66, 24 Registrations

Professional Experience

SunTrust Investment Services, Richmond, VA 2007 - Present

Supervisory Specialist / Principal Group Administrator

Protect firm from financial, reputation and regulatory risk by ensuring OSJ

and branch offices are in compliance with industry rules, regulations and

internal policies and procedures as part of Centralized Supervision Group.

Work within rules and policies set by SRO's and Compliance Department.

. Review and monitor all securities related activities, sales practice

issues, or other compliance related matters, including annuities, wealth

transfer, or immediate annuities sold by field.

. Limit risk and exposure to company by reviewing incoming and outgoing

email correspondence daily for approximately 1,400 associates on

corporate email surveillance system.

. Implement and enforce internal compliance procedures and training. Co-

produced department's desktop manual.

. Review non-retiree brokerage account applications in their entirety,

verifying information and various coding duties designation and risk

rating status on proprietary documentation system.

Professional Experience, continued

Supervisory Specialist / Principal Group Administrator, continued

. Work closely with Region Manager, Senior Supervisory Support Specialist,

and Regional Operations Manager.

. Perform administrative supervisory functions of a retail broker/dealer

supervising principal in the securities industry as designee of Region

Manager.

Wachovia Securities, Richmond, VA 2003 - 2007

Analyst Specialist

Liaison between internal and external clients and ODR complaint handlers,

particularly relating to case assignments, research and resolutions.

. Performed research and case analysis, gathered and organized information,

maintained files, prepared reports, and analyzed customer account

statements.

. Ensured capture of all SEC-required information for mutual funds

purchases by participating in the creation and rollout of web-based

mutual funds worksheet.

. Managed settlement fulfillment process, ensuring timely payment delivery

to clients and working closely with Accounts Payable.

. Evaluated complaint submissions for completeness and finalized regulatory

coding and branch notification.

. Translated Spanish complaints to English.

. Resolved inquiries, issues, and problems relating to collateralized

accounts, loan payoffs, approval of assets to be collateralized, and

release of collateralized of assets, escalating when appropriate.

. Assisted with set up, maintenance, and termination of collateralized

brokerage accounts and loans.

. Logged performance data within the department in tracking systems as

dictated in the policy and procedures.

. Developed department monthly productivity reporting for senior

management.

CASES, New York, NY 2001 - 2003

Training Coordinator, Training and Technical Unit

. Ensured associates in this alternative incarceration program received

training to meet funding requirements.

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