Financial Operations

Xavora Holloway

New York ***** 917-***-**** ******.***.********@*****.***

EDUCATION

Pace University, Lubin School of Business

Bachelors of Business Administration- accounting/management 1996

Seminar Training

MetLife First Genesis Financial Planning

Charles Schwab: Financial Products and the Equity Markets

Cryptocurrency Training

Coinbase DeFi introduction to the distributive network and crypto markets

TECHNOLOGY

Microsoft: Excel, Word, PowerPoint Morningstar, Value Line, Bloomberg, SEF, Mergent Online, MarkitWire, FINRA Gateway, SEC Edgar, Lexis, World Check

TEMPORARY EXPERIENCE

HR Block

Client Services Manager

2019-2020

Conducted a calling campaign to win back business from walk in and single contact clients.

Introduced new products via email target campaigns (My Block Accounts, Approve Online).

Partnered with Block Advisors on Ask a Tax Pro workshops, networking events at Small Business Associations, Consumer Affairs and New York Chamber of Commerce.

Reduced weekly hold status converting 3% client accounts into paid filing status increasing revenue by 10%.

Updated daily Tick Sheet Revenue Growth spreadsheets for sales metrics supporting staff of 15.

Amazon Fulfillment Center

eCommerce Shopping Assistant

2019 - 2020

Assisted customer base with online shopping via social media, ordering, packaging and review of returned merchandise.

New York City Department of Administrative Services

Q-CTAC Testing Coordinator

2017- 2019

Provided administrative and customer service support daily for 127 municipal city exam candidates for computerized testing program.

Verified global identification documents using Know Your Customer identity background checks and biometrics (fingerprinting, image capture).

Adams Temporary Staffing

Compliance Regulatory Reporting Temporary

2013 -2017

Reviewed trading desks daily blotters for identification and classification of risk tolerance ratio adherence.

Maintained effective relationships with key internal and external business stakeholders to ensure that procedural and operations policy conformed to Federal guidelines.

Reviewed and revised the firm’s Code of Ethics policy and operational desk procedures for Volcker, ICAP and CCAR.

Communicated to senior management regulatory updates from CAD, JFSA, ESMA, CFTC regimes.

Evaluated Reg W risk book trades identification and controls assessment-using MarkitWire.

Managed End of Day activity transmissions for CFTC reporting DTCC P43, P45 repository trades.

Resolved and investigated DTCC problem resolution for NACKS, WACKS and REJECTS.

Monitored suspicious activity violations anti money laundering, banned persons, politically exposed entities, restricted trading lists.

Evaluated daily risk exposure of alerts trending and liability assigned risk values using FINRA guidelines.

Escalated breach events to Legal and HR coordination of remediation efforts and resolution actions.

Project leader guided a team of seven with examination of derivative transactions, designed test scenarios and trained staff on Counterparty trade identification.

Generated and recorded external regulators communications, announcements and rules from ESMA, PRA and European Conduct Authority across global platforms.

Reviewed and researched compliance alerts, regulatory inquiries and audit matters requiring attention for investigation across internal teams and stakeholders.

Proficiency with INQUIRY MATTER, OATS and STAR Examinations from FINRA and the Federal Reserve Gateway Portal.

Validated TRACE examinations using Factiva, BLOOMBERG, and Zephyr public records databases for KYC verifications.

Assessed a risk value on compliance alerts requiring escalation to FINRA, SEC, State agencies.

JP Morgan Chase

Global Compliance Research Temporary

2011- 2013

Controlled user acceptance testing (UAT) testing tools, scenarios and data integrity by creating a workbook for programmers to assist with metrics tracking.

Communicated with internal and external units responding to inquiries across Credit Risk, Market Risk for the Americas external reporting.

Responded to internal and external stakeholders’ inquiry of Matters Requiring Attention and Key Action Issues from prior examinations and audits.

Created project milestone calendars, and examination schedule using Excel, Outlook, and Sharepoint.

Documented and reported key facts of new or upcoming industry and legislative changes from external regulatory bodies CFTC, SEC, FINRA, and OCC.

Conducted quality control and assurance reviews on historical practices, tested case studies, and audited reports to identify strengths and deficiencies against SBA and Federal regulations.

Data mining master system for dollar amounts, items to be investigated, and historical documents needed, verified whether historical documents were matching the information that Chase had on record.

Opened Fraud investigations on variances in documents versus funding- source of collateral confirmations.

Communicated with management to formulate remediation steps needed to correct data issues and provide remediation.

Maintained internal control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators.

Generated how many files not opened, incomplete or investigated with further review ensuring that all information was aligned with federal metric goals policies as well as Chase’s internal policies.

Verizon Wireless

Customer Account Representative

2010- 2011

Primary point of contact for client inquiries managing email, text, and social media responding to billing discrepancies using tact, emotional intelligence, and interpersonal skills to achieve problem resolution.

Partnered with sales for product activations and technical help desk troubleshooting achieving 10 new account activations for 6 consecutive months. Skills reduce customer turnover by 10% within an average daily rate of 60-70 customer engagements.

E*TRADE Financial Group

Trade Assistant (Licenses 7 & 63)

2008- 2009

Customer care resolution via email, and phone for a global audience of investors performing account creation, equity trading, compliance review, market performance, transactional analysis and monetary funding (ranked 3rd on team of 13 for account creation).

Partnered with Advisory teams to target and prequalify recommendations for net worth re-evaluations, account retention, and asset consolidations (scheduled 4 prospecting interviews per month highest average).

Processed incoming and outgoing Federal Funds, ACH, CHIPS, SWIFT, and account funding options.

Identified and opened Suspicious Activity Reports for new account funding discrepancies against customer profile using document trail of cash audits.

Managed trade blotters, communicated, tracked and resolved trade errors and fails to reconcile accounts with settlements, dividends, and order desks.

Researched corporate actions (mandatory and voluntary) corrected discrepancies, provided clarification, and information.

Drafted due diligence procedures including year-end performance reporting 1099, garnishments, capital gains, and foreign taxes paid or foreign currency exchange rates.

Completed new account document review for adherence with US Patriot Act, Due Diligence, Bank Secrecy Act, Anti Money Laundering, Dodd Frank and Know Your Customer security compliance policies.

Partnered with the Fraud team to identify social phishing attempts using candor, tact and expediency to identify trends, patterns, and customer demographic testing.

Contact this candidate