Lisa Nardi

ad12m2@r.postjobfree.com Phoenix, Arizona

Compliance Officer/Analyst Research and Data Analyst Securities Licensing Prep PROFESSIONAL EXPERIENCE

VETERANS CLAIMS REPRESENTATIVE - TriWest Healthcare Alliance, Phoenix, AZ Jan, 2023 – May, 2023 Contract Role - Remote Location

“Taking Care of Our Nation’s Veterans”

● Nationwide interaction with private Healthcare Providers, the United States Veterans Administration, and Individual Military personnel to ensure the accurate and timely processing of healthcare benefit claim payments ensure accurate and timely processing of veteran & dependent healthcare claims.

● Simultaneous utilization of multiple front-end software applications

● Documentation of all interactive communications in compliance with HIPAA regulations and PHI - Protected Health Information.

BENEFITS ADVISOR - Willis Towers Watson, Tempe, AZ July, 2019 – June, 2022 Contract Project Role Remote Location

Serving as strategic advisor in client engagement for the design and implementation of health and benefit programs

● Proficient in Individual & Family plans, Medicare, Medicaid, Prescription Drug plans and applicable Supplements

● Life and Health licensure and appointment in multiple states with various Carriers throughout the USA

● National Appointments with: United Healthcare, Aetna, BCBS, WellCare, ExpressScripts and Health Alliance

● 2021 AHIP Certification in Fraud Waste and Abuse Training INSURANCE BENEFITS INVESTIGATOR - McKesson, Tempe, AZ Dec, 2019 – Feb, 2020 Contract Project Role

● Conducted full medical and pharmacy Benefit Investigations via Outbound Call Center

● Drove paid therapy outcomes for patients with reimbursement and billing challenges regarding specialty prescription medications.

INDEPENDENT COMPLIANCE CONSULTANT – Nardi Consulting, United States Feb, 2008 – Dec, 2018 Securities Licensing Exam Prep – Tutoring and Exam Prep instruction utilizing Proprietary Licensing Exam materials created by Nardi Consulting d/b/a STREAMLINE.com

RESEARCH and DATA COMPLIANCE ANALYST – Bank of Montreal, New York, NY May, 2018 – Sept, 2018 Contract Project Role

● Research of New Capital Market Clients re: on-boarding documentation in adherence with AML/KYC Policies & Procedures and escalation protocols

● Adjudication of compliance system alerts related to Politically Exposed Persons, Adverse Media and Sanctions

● Data Entry within the Capital Markets Customer Information File Risk Scoring Management System 1

KYC/AML COMPLIANCE ANALYST - Deutsche Bank, New York, NY Aug, 2012 - Jan 2013 and Sep 2015 – Nov 2015 Contract Project Roles

● Regulatory Periodic Review of Institutional (Foreign and Domestic) Capital Market client accounts

● Identification, monitoring and update of client CIP documentation

● Liaison to Internal Bankers for Exception Management Reporting

● Life cycle Project Management to include reconciliation and group reporting SENIOR COMPLIANCE ANALYST – Citibank, Long Island City, NY Sept, 2013 – Sept, 2014 Contract Project Role

● Working within the Financial Investigations Unit (FIU): Analysis and Caseload Management Reporting of customer AML alerts generated from New Client on-boarding, Actimize Transaction Monitoring interface and Government source subpoenas, 314(a) and 314(b) referrals

● Identification and analysis of unusual transactional patterns of client financial documents

● SARs filing and relationship retention/termination recommendations INTERIM CHIEF COMPLIANCE and AML OFFICER - Avatar Securities, New York, NY Feb, 2011 – Jan, 2012 Contract Role

● Review and preparation of documentation to verify regulatory On-boarding requirements of new Member traders ● Compile and update internal procedures surrounding core business functions for purposes of assisting with due diligence of transactions

● Liaison with all regulatory bodies to achieve positive audit outcome

● Email Surveillance of all firm members

● Implemented licensing training of 100 firm Members to fulfill Series 56 regulatory licensure requirement PRINCIPAL COMPLIANCE OFFICER - Navasis Financial/National Asset Mgmt, Chicago, IL Oct 2008 - Feb 2009 Contract Role

● Sales Practice Supervision over (3) three Branch Offices with 150 Registered Reps

● New Account approval under KYC/AML due diligence protocol

● Daily review of Suitability recommendations, Trade Blotters, Advertising & Sales literature and Email Surveillance

● Analysis of trade practice exceptions and implementation of corrective action CHIEF COMPLIANCE OFFICER - Greenmoor Financial Group, Chicago IL Oct, 2005 – Dec, 2007

● Implementation of Compliance Oversight protocols for a Finra/CBOE/NYSE registered start-up broker-dealer specializing in equity/equity options for Retail, Institutional and Proprietary Trading execution

● Maintenance of Supervisory Controls, Policies and Procedures, B/D Books and Records, KYC/AML new client procedures and all Regulatory Reporting requirements

● Trade Desk Risk Management monitoring, ACH payment processing and Liaison to Clearing firm

● All-Staff training on compliance policies, procedures and mandatory licensing registration 2

NATIONAL SECURITIES LICENSING INSTRUCTOR - Dearborn Financial, Chicago IL Sept,1999 – Jan, 2006 Contract Role

Classroom licensing exam, Answer Phone instruction and Continuing Education to individual staff members of Brokerage, Banks and Investment Advisory firms throughout the contiguous United States and Canada:

● Series 63 - State Securities Law

● Series 6 and 7 - General Securities Reps

● Series 65 and 66 - Investment Advisor Reps

● Series 55 and 56 - Proprietary & OTC Equity Traders

● Series 24 and 26 - Securities Principals

INDUSTRY SOFTWARE LITERACY

● Multiple FINRA Regulatory Reporting platforms, WebCRD, NASDAQ Level II & III, Actimize, Mantas, JIRA, SharePoint, CareRadius, Verint, Genesys, Oracle, LexisNexis, SalesForce, Bloomberg and WorldCheck HARD SKILLS

● Advanced MSFT skills: Word, Excel, PowerPoint, Outlook

● QuickBooks • P.O.S. Systems • WordPress

EDUCATION

BS in Accounting – Western Governors University * 3

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