Account Analyst Administrative Assistant
Resume:
BSharline A. James
*******.*****@*****.***
SKILLS
Registered Principal / Risk Management / Financial Markets / Asset Management / Regulatory Analysis and Affairs / Proficiency in Compliance Regulations and industry standards
●Influence and design client & team assessments
●Internal & External Relations-Cash Management
●Suitability Accounts Transactions -Global & Domestic Compliance
●Broad Financial Transactions and Product knowledge
Excel at multi-tasking under tight deadlines
PROFESSIONAL LICENSES:
FINRA - Series 7, 24, 52 and 63 and Texas Insurance Licenses
EDUCATION
●Herzing University (Birmingham, Alabama) Business Systems & Programming
●University of Alabama in Birmingham (3 years)
(Concentration in Business)
COMPUTER SKILLS
Microsoft Office (Excel, Word, PowerPoint, MS Outlook), Broadridge BPS platform, ICI, ADP, ADP SIStrack, NPC, NetX360,FBSI, eBOSS, ONBASE, DTC, FED
PROFESSIONAL EXPERIENCE
BBVA Nov 2018-2 OCT-2020
Registered Principal II:
Supervise all areas of the members Investment banking and securities business, such as underwriting, trading, and market making advertising, or overall compliance with financial responsibilities. Heavy emphasis on sales process design/improvement. Perform frequent reviews to ensure consistency with the market, identify differences and asses risk associated with processes
USAA June 2018- Nov 2018
Customer Service Representative
Day to day expertise and support of products provided as an extension to our clients CRM, loyalty and creativity teams. Identifies and manage activities existing emerging risks stemming from business activities. Follow written risk & compliance and evaluation. Accountable for implementation and evaluation of workload management strategies to advance the operational success & ensure consistency of contact center service level
New York Life May 2015- July 2017
Eagle Strategies Principal Analyst April 2016-July 2017
●Performed daily quality control practices independently and as team member in a highly regulated compliance environment. Monitoring and implementing policies of new business for Eagle strategies accounts for review of suitability standards, Department Of Labor (DOL), sales and document requirements for approval. Responsibilities included verify, resolve, research, account restrictions, exceptions and monitoring inbound files.
●Managed timeliness of issues and account content including various industry products, providing effective verification to ensure regulatory standards were met including maintaining efficiency and volume management. Contacted processors, reps, clients and management to update exceptions, missing information and to assess appropriateness of documents.
New Account Analyst May 2015 – April 2016
●Responsible for the establishment and creation of accounts for New York Life. Checked all Investor Profiles for processing requirements, such as Mutual Fund alignment, Investment Threshold and Risk Tolerance.
●Ability to build pro-active, co-operative working relationships with agents, co-workers and key stakeholders to resolve new account revisions and issues for account approval.
●Contributed to process and procedure enhancements for successful outcomes with consistent, compliant delivery.
SMC Entertainment Productions
Project Administrative Assistant Oct 2013-May 2015
●Escalation of client needs, conduct team collaborations, submit schedules, payments, billing and emails.
●Organize vendors, provide event resources, track project performance and make adjustments to event constraints and changing guidelines
●Assist Project Manager with all special events
Aug 2013-Oct 2013
National Planning Corporation (Dexter Thomas Financial Services)
Administrative Assistant / Compliance Office
●Served as escalation and customer contact.
●Addressed incoming customer inquiries, requests, concerns and analyses with clients.
●Liaise with Owner/Advisor to set up allocations, daily tasks and events.
●Participant in set up of client Retirement & Investment Planning seminars.
Manager Risk & Control Sep 2008-Apr 2013
Deutsche Bank, Jacksonville FL.
Experience leading geographical distributed teams and stakeholders. Managed Settlement Operations and Risk Management Departments, Supported efforts to ensure effective and consistent implementation of Risk & Control Self-Assessment (RCSA) for risks that spanned across International business units. Controls Self-Assessment programs that uses metrics to continuously update and report on the effectiveness of control environments to ensure risks are appropriately identified, escalated, and mitigated. Awards given to team for the control shown during the 2008 Financial Crisis and for system outages around Mortgage securities.
●UNT testing trade capture and set ups, prioritize deliveries in DTC, IPO’s, short sells, confirm trades equity transactions)
●Relationship-builder, solutions-oriented and effectively linked the interests of multiple stakeholders. Strong focus on providing exemplary customer service; includes meeting quality standards for service, and production
●Lead and reported regulatory compliance and various annual training programs. Broad experience with onshore and off shore personnel development
●Developed strategies and designs in framework to proactively manage risk acceptance, safeguard department operations, policies, procedures through coordinating goals, objectives and corporate programs
Manager and VP of Dealer Cashiering Apr 2000-Sep-2008
First Southwest Co, Dallas, TX
Delivered clearing services to broker-dealers and investment advisors across the United States. The Dealer Cashiering department had responsibility for all ‘street side’ daily settlement and reconciliation of equity, corporate, municipal and government bond transactions, security receipt from retail clients, standard and legal transfers of securities, ‘fail’ control of aged open Fail to Deliver and Fail to Receive transactions. Identify business changes BSA, AML, OFAC, Fraud and Government Sanctions
●Developed data source to track fee charges saving the firm thousands of dollars annually
●Complex processing of all DTC, DVP/RVP trades, institutions and fed transactions, foreign exchanges, wires, researching, reconciliations
●Ensured compliance with the Firm, Sarbanes-Oxley and Finra auditors controls and requirements
●Owner of department and companywide compliance, AML/OFAC, BSA, SEC rules, surveillance, accounting, operations and trading transaction accuracy and due diligence
●Analyzed and accessed the impact of regulations relevancy to business activities
●Advanced goal enhancements and employee recognition programs, ensured effective training, procedures, coaching and mentoring of departmental staff
●Purchased SBA Loans to sell in the Secondary Market. Worked with Lender on all levels to ensure all paper work was completed and met all standards to meet specified settlement.
●Lead Bi-weekly meeting with trade teams for analysis of review tools that may be applied to support roles to assist in better servicing.
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