Document Control Service

Lucy Rosario

Longwood, FL 407-***-**** linkedin.com/in/lucy-rosario

QUALITY ASSURANCE/CONTROL ADMINISTRATIVE PROFESSIONAL

Highly qualified quality assurance (QA) team member with extensive experience advising on operating procedures and business practices in compliance regulatory requirements and accreditation standards. Leverage unique combination of strategic analysis and business acumen to fuel success. Research and analyze operations to devise high-impact strategies to mitigate risk. Core strengths include:

Strategic Analysis Complex Project Management Cross-functional Communications Time Management Risk Management and Mitigation Loss Prevention Training and Development

CAREER EXPERIENCE

Florida Department of Economic Opportunity -Kforce-Staffing-Contractor 2020-Present

Remote Unemployment Services Customer

Extensively use automated system to review, enter data

Update and report unemployment claim information

Take inbound calls, pin reset calls, enrollment calls

Worked with applicants to complete applications

Responded to customer requests and directed to different queue

CHARLES SCHWAB & CO., INC. 2005 - 2019

Control Support and Surveillance – QA Associate, Operational Control 2009 – 2019

Conduct quality assurance reviews for operational business areas including Move Money Solutions, Schwab One and Banking Operations, and Managed Account Operations. Able to review business partner output around a variety of functions, to determine if the work was performed according to established procedures, and to report the results to management.

●Successfully perform both analytical and administrative components and provides the opportunity to form strong partnerships with supported business units while aiding them in meeting their control and supervisory requirements.

●Coordinated deadline-driven and time management to meet service levels. Functions include: Execute control testing and monitoring on behalf business line management complete daily, weekly, and monthly tasks by assigned target dates with limited supervision

●Listened and delivered feedback and coaching to partners on VERINT calls utilizing Basic Call Behaviors Guide

●Applied discretion regarding escalations and issues Build mastery and subject matter expertise around the functions reviewed and facilitate effective conversations with business partners

●Recommend and implement improvements to the QA process based on observations

●Analyzed deficiencies, recommend solutions to improve control design and execution

Cashiering Operations – Operations Specialist 2006 – 2009

Reviewed checks presented for payment for funding availability and risk prevention.

●Processed check order requests through 3rd party vendor system.

●Handled bank account maintenance including account closures and negative balance review.

●Provide subject matter expertise and being a resource to team members

●Cross-functionally communicated with internal and external partners, including third-party vendors, customer service teams, branch representatives and other operational teams.

●Processed Money Link transfers and profile set-ups

●Processed client requests for Schwab-issued checks, including overnight requests.

●Performed inbound/outbound money movement verification calls

●Printed and mailed Schwab Bank Cashier’s Checks.

●Processed Simple IRA transmittal forms for AS and IS clients.

●Reviewed and processed Management Fees for Investment Advisors via management fee system.

●Assisted in set up for recurring dividend/interest payouts via MoneyLink or Check.

●Verified the validity of Schwab issued checks for outside financial institutions.

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Document Control – Operations Associate 2005 – 2006

Sorted, analyzed and scanned incoming client documents into our imaging system, and validating them into the proper workflows.

●Documented prepping and scanning functions or indexing/validation functions.

●Assisted department with meeting critical cut-off times during periods of high-volume spikes.

●Received, prepared, and scanned all checks into the Check Deposit Automation system.

COMPUTER SKILLS

Excel, Microsoft Word, OneNote, Outlook, Swiss Workflow, ACS, Client Central, MYQ, Compliance Link, OnDemand, TraQer, Oasis, ODB Matrix, S1BO Service Tracking, Pay No Pay, Bridger, PD Teller/Citrix, SharePoint, ODB Matrix

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