Compliance Analyst

Krizia Navarro

***** ** ***** ****** *****, FL **186 *********@**.*** 786-***-****

SUMMARY OF QUALIFICATIONS

Highly motivated individual with a strong financial background in equity & fixed-income trading, client relations, and regulatory compliance. Finance professional with more than 10 years of expertise in exceeding client expectations while analyzing complex information in a fast-paced environment. Current FINRA Series 7 & 63 licenses. Bilingual.

EDUCATION

Florida International University, Miami, Florida

Bachelor of Business Administration, August 2007

Concentrations: Finance and International Bank Management PROFESSIONAL EXPERIENCE

BigSur Wealth Management, Miami, Florida

Compliance Analyst, April 2015-November 2015

• Assisted the CCO in the administration of and ongoing enhancements to all aspects of the firm’s compliance program with respect to its private solicitor arrangements and other business lines, including management of the compliance calendar and oversight of recordkeeping.

• Ensured compliance with the Code of Ethics, including collecting and reviewing personal trading, certification, outside business activities, and political contributions documentation.

• Interacted with the firm’s external compliance consultants and law firms on compliance and regulatory matters.

• Engaged in compliance monitoring and testing, including with respect to trading activities, wire transfers, and email review.

• Worked with other departments, such as Investor Relations, Operations, and the Investment team on various compliance initiatives.

• Reviewed marketing materials, publications, and third-party communications such as social media sites.

• Collaborated on an ongoing compliance training program of existing employees and orientation for new hires.

Royal Bank of Canada Wealth Management, Miami, Florida Compliance Assistant, November 2014-April 2015

• Compiled data and maintained necessary records and files to assure efficient and consistent reporting of investigations.

• Prepared and processed documents/reports to assist management in determining applicable policies and procedures.

• Ensured compliance on AML, OFAC and suitability reviews within the analyst team.

• Provided advice and support to business lines, due diligence in matters relating to quality and completeness of KYC files.

Complex Operations Manager, November 2013-November 2014

• Supervised operational staff in the complex and its operational functions including: compliance with firm, complex and branch-related policies and procedures.

• Managed the security of the complex main office cage: the wire operator entries, error correction procedures, receipt and disbursements of client funds and securities and the complex main office’s record keeping.

• Acted as a point of contact for all administrative, operational, compliance inquiries from associates in the market complex.

• Directly assisted the Administrative Complex Manager to oversee the administration and operations in the primary office and handled escalated issues from other offices in the complex.

• Supported compliance related service requests that focus on accuracy and efficiency to mitigate risk for the branch/complex/market.

Wells Fargo Advisors-Miami International, Miami, Florida Registered Client Associate, June 2012-November 2013

• Provided Global Asset Management which included both regional and local market-based services to high net-worth individuals, private and public institutions, and corporations servicing more than 100 strong client relationships with assets under management in excess of $500 million.

• Assisted in the re-balancing of portfolios, in order to be consistent with client’s suitability factors, including information gathering to create customized asset allocation and performance reports in the process.

• Administered the incorporation of Personal Investment Companies in different jurisdictions as well as trust structures to meet the unique needs of high net-worth individuals.

• Acted in a sales support position typically providing dedicated operational and sales support to a team of financial advisors who represented the Latin American division.

• Maintained production’s team contact management system to record noteworthy client interactions, daily intake of orders and input relevant information needed to service the account that is useful for establishing ongoing relationships.

• Delivered customized fundamental research to investors of recent market events, investment outlook, and economic developments.

• Functioned as the team’s liaison amongst operations personnel, traders and management for translation needs.

• Completed on a weekly and/or monthly basis the team’s compliance activity reviews which include: updating client financial reports, resolving issues, and responding to inquiries.

• Communicated on an ongoing basis with bond traders to request up-to-date bond information to assist the financial advisor make decisions based on their current investment strategy for specific clientele such as private clients, financial intermediaries and sophisticated institutional investors.

• Supported mainly equity and fixed income transactions for domestic broker dealer and international DVP accounts.

• Managed the distribution of new issues to qualified institutional buyers on a weekly basis resulting in taking orders and allocations.

Scottrade Inc, Miami, Florida

Investment Consultant, October 2010-June 2012

Financial Services Representative, April 2002-September 2010

• Performed risk management on low equity, day trading, leveraged, and margin concentrated trading accounts.

• Cross-selling of different financial products and services, which involves the daily trading of stocks, fixed income instruments, exchange traded funds and mutual funds.

• Accomplished business development through lead calls, follow up calls, and one-on-one presentations thus increasing branch assets by at least 10% quarterly.

• Assisted clients in profit making decisions through guidance of complex market transactions such as reorganizations, tender offers, and conditional orders.

• Led branch seminars on accounting basics, option trading, understanding margin, planning for retirement, advanced technical analysis, and trading platforms such as Scottrade Elite.

• Communicated with clients on an ongoing basis to maintain all the account documentation up-to-date and in compliance with the firm’s requirement.

Skills Activities Awards

Spanish (native), French (conversational), Bloomberg Professional, Thomson Reuters Risk Management Software, SalesForce, Compliance360

VP of Membership (Financial Management Association 2005-2007), Certificate in Banking Management (CIBM)

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