Business Intelligence Data Collection

ERIK LOPEZ, MBA

Tarrytown, NY 347-***-****

Email: ***********@*****.***

LinkedIn: linkedin.com/in/erik23lopez

PROFILE

Professional with an MBA, highly skilled and accomplished within the investment management and banking industries, with experience and expertise in risk analysis, compliance, and business development.

COMPETENCIES

Strategic Planning

Goal Setting/KPIs

Solutions Selling

Data Collection/Analysis

Product Knowledge

Risk Mitigation

Customer Loyalty

Relationship Management

Threat Assessments

Continuous Quality Improvement

WORK EXPERIENCE

OPPENHEIMER & CO., New York, NY 9/22 – 3/24

TRADE SURVEILLANCE ANALYST

Monitored multimillion-dollar trade transactions and client portfolios for alerts using apps like CMS, FINET, Prosurv, OMS, and Advisor Works.

Worked with compliance for the Northeast to resolve alerts and closeouts to mitigate risks.

Conducted random samples of trades to ensure compliance with policies, procedures, and regulatory mandates.

Collaborated with branch management to identify trends, assess risk factors, implement corrective actions, leveraging surveillance and audits for continuous improvement.

WINTER MANAGEMENT CORP, New York, NY 8/20 – 9/22

Property Management/Manhattan Commercial Properties

CONTROLLER

Served in a control room security position to monitor property access.

Conducted office showings for potential tenants.

CAPITAL ONE, Howard Beach, NY 2/19 – 8/20

BRANCH AMBASSADOR

Served in an account management client relationship role.

Used product knowledge to promote bank products and services.

Resolved any issues of concern.

Provided one-call problem resolution living a philosophy that a customer should never make the same request twice.

Participate in community outreach initiatives to contribute to the company’s brand and image.

Used customer feedback as a baseline to improve trust and loyalty.

FLY BLADE, New York, NY 7/18 – 12/18

ANALYST

Ensured regulatory compliance by preparing lounge condition survey, Hazard Vulnerability Analysis (HVA), and Emergency Action Plan (EAP).

Provided virtual customer service for private charter, crowd-sourced, and scheduled flights.

ERIK LOPEZ, MBA Page 2

(WORK EXPERIENCE Continued)

RIDGEWOOD SAVINGS BANK, Ridgewood, NY 10/16 – 8/17

RISK ANALYST

Oversaw file system for claims (Worker’s Compensation, property, auto, liability) and lawsuits.

Assisted Risk Officer with assignments, such as Disaster Recovery Testing (DRT), branch condition surveys, and policy and bond renewals.

Communicated with vendors for renewal of insurance certificates.

Used real-time analytics to take a proactive versus reactive response to risks and opportunities.

Identified risk factors and partnered with Risk Officer on strategies to eliminate vulnerabilities.

EDUCATION

ST. JOHNS UNIVERSITY, Jamaica, NY

Master’s Degree in BUSINESS ADMINISTRATION and FINANCIAL TECHNOLOGY 2022.

JOHN JAY COLLEGE OF CRIMINAL JUSTICE, New York, NY

Bachelor of Science in CRIMINAL JUSTICE, Minor in SECURITY MANAGEMENT and COMPUTER FORENSICS 2018.

SKILLS

Electronic Trading Platforms Experience and AI tools for stock market research; Python and data management tools; Securities Industry Essentials; Insight; CMS; Advisor Works; Prosurv; FINET; Order Management System; Schwab StreetSmart Edge and ThinkorSwim apps; Global project management certification (X-Culture), LexisNexis & Nautilus file management system, Proficient in remote work and communication applications, ArcGIS/ArcMap, a cloud-based mapping and analysis system

LANGUAGES

Fluent in English and Spanish

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