Receptionist Individual
Resume:
KristenSalamone
****East**thStreetBrooklyn,NewYork11234
*******.********@*****.***
EXPERIENCE
Keyfood.,Brooklyn,NewYork11234
November2023-CurrentEmployer
●Check-outcashier
●Assistcustomerswiththeirordersandassistwithcustomerservicenee StateFarmInsurance,Inc.,Brooklyn,NewYork11234
April2015–July2016
●Receptionist/InsuranceAgentTrainee
●Answeredphonesandtookcustomerinformationtoverifyiftheywereeligibleforinsurance throughStateFarm
●Contactedclientstoarrangepaymentsandcollectecteddocumentsrelatingtocustomeraccounts
●Updatedcustomersinformationforanyandallupdatesand/orchangestotheirpolicies UBSFinancialServices,LLC,Hoboken,NewJersey
September2013–April2014
ParalegalfortheOficeoftheGeneralCounsel
●Collecteddocumentsandpreparedresponsestocourtorders
● PreparedresponsestoStatementofClaims
● Collecteddocumentsandpreparedresponsestoregulatoryinquiries
●Assistedcounselwithpreparationsforcourthearings
● Updatedthefirm’scompliancemanual
BankofAmericaMerrillLynch,NewYork,NewYork
March2008–August2013
March2008–August2013
PromotedtoVicePresidentofCompliance,GlobalWealthMngmt&InvestmentBanking
●Responsibilitiesbroadenedtoincludehandlinginquiriesregardingfinancialadvisorsreceivinga customercomplaintand/orterminatedfromtheFirmwithcause.
●Collectedinformationresponsivetosaidinquiriesincludingbutnotlimitedtoworkingwith branchmanagers,internaland/externalcounsel,humanresourcesandinternalaudit.
●Assistedmanagementwithmultipleprojectsincluding,butnotlimitedto,respondingto sensitiveinquiries,preparingpresentationsandparticipatinginconferencecalls.
● InconjunctionwithdailyresponsibilitiesIfrequentlyassistedinternalandexternal counseltogatherinformationrelatingtoeitheracustomercomplaintoranassortmentof inquiriesregardingafinancialadvisor.Theinformationcollectedandpreparedwasused forarbitrationsortorespondtoregulatoryinquiries.
BankofAmericaMerrillLynch
January2005-March2008
AssistantVicePresidentofCompliance,GlobalWealth&InvestmentBanking
●ResponsibilitiesincludedtrackingandsubmittingBlueSheetsthroughSIACallowingfor requestingSROtoreviewFirm-widetradingdata.
● Gatheredinformationandrespondedtochronologiesrelatingtothebank'sfinancial acquisitions.
● PreparingwrittenresponsestotheSEC,FINRA,CBOE,andvariousStateregulators.Inquiry contentvariedfromcustomercomplaints,tradinginquiries,andrequestsrelatingtothe performanceofafinancialadvisor.
DeltaAssetManagement,LLC.,(formerlyHornblower&Weeks)NewYork,NY August1998–July2004
AssistanttotheCEO/ComplianceAssistant/LegalSecretary
● Assistedinthedevelopmentofcompliancepoliciesandprocedures,stafftraininglicense registration,andproductionofregularcompliancebulletins.
● SupervisedcomplianceauditsandpreparationforSEC/NASDinquiries.
●Formalizedbranchauditstoensurecompliancewithcompanyandregulatoryguidelines.● PreparedresponsestocustomercomplaintsfortheSEC,NASDandavarietyofregulatory bodies.
●PreparedStatementofClaims,LegalMemorandums,ClaimInformationSheetsandresponses tocustomercomplaints.
●Createdandmaintainedafilingsystemforthefirm'semployees,monthlyaccountstatements, incomingfunds,andduediligence.
●ServedasliaisonbetweenvariousclearinghousesandtheFirm.
●Managedpayroll,allfirmdatabases,andcommissionschedules. EDUCATION
BishopKearneyHighSchool
Brooklyn,NY
September1993–June1997
KingsboroughCommunityCollege
Brooklyn,NY
September1997–June1998
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