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

Contact this candidate