Manager Customer Service

Clarice Walker • 901-***-**** • ***************@*****.***

Areas of Experience

Customer Service Client Management Data Mining Process Oriented Time Management Conflict Resolution Compliance FINRA/SEC Regulations Banking Investment Banking Experience

B. Riley Wealth Management,

Annuities and Insurance Coordinator October 2015 - Present

Onboard and orient new brokers.

Maintain FINRA licenses for over 170 brokers.

Coordinate state insurance licensure and carrier appointments on corporate and individual levels.

Answer all account related inquiries to include insurance and investment transactions.

Process carrier appointments, change of broker-dealer requests, selling agreements, etc.

Provide network support to representatives to link external business to internal brokerage accounts.

Administrator of the National Insurance Producer Registry Database.

Assist with compliance adherence for SEC and FINRA regulations.

Review and process new business via paper ticket or AOE.

Assists Director of Annuities & Insurance with selling agreements, monthly reports, and administrative support. Raymond James,

AML Support Specialist II August 2006 – October 2015

Scheduled reports and tracked information for the AML department.

Assisted in preparing, reviewing, and auditing reports.

Client management.

Processed ACH, wire, and check requests.

Reviewed accounts transferred from other branches, assigned them a Financial Advisor, and compiled appropriate documents.

Entered trades and corrected trade errors.

Monitored and reviewed accounts for suspicious activity related to money laundering and terrorist findings.

Enforced adherence to 3012 procedures of FinCen: 314. Union Planters Bank,

Retail Quality Control Representative II December 1999 – August 2006

Monitored and reviewed account activity for suspicious activity related to money laundering and terrorist financing.

Kept clients abreast of penalties per the Annuity Report.

Analyzed audit exceptions.

Monitored activity within employee and retail bank accounts.

Reviewed Branch activity for deviations from banking policies.

Processed ACH, check, and wire requests.

Processed claims and loans with all accompanying account information, customer information, and fund transactions.

Clarice Walker • 901-***-**** • ***************@*****.*** Education

Grand Canyon University

Master of Business Administration 2016

University of Phoenix

Bachelor of Science, Business Management 2013

Computer Skills and Software

Microsoft Word Microsoft Excel Microsoft PowerPoint 10 Key Lexis Nexis

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