K I M B E R L Y
R A D F O R D
CON T AC T INFO EXPERIENCE
773. 817. 9078
********@*****.***
PHILLIP CAPITAL INC.
COMPLIANCE ANALYST CHICAGO, IL
EDUCATION
ILLINOIS STATE UNIVERSITY
Normal, IL
Computer Science
SKILLS
MICROSOFT EXCEL
MICROSOFT OUTLOOK
MICROSOFT WORD
MICROSOFT ACCESS
MICROSOFT POWERPOINT
SHAREPOINT
BLOOMBERG
SWITCHBOARD
DATA ENTRY
SCHEDULING
HP FINANCIAL CALCULATOR
• Provided training to staff on industry compliance requirements utilizing various methodologies
• Researched industry compliance regulations and policies
• Evaluated internal operational and procedural compliance
• Developed and maintained departmental SharePoint record keeping system
• Kept abreast of compliance requirements and amendment to regulations
• Contributed to the review and submission of regulatory inquiries
• Assisted the Chief Compliance Officer with annual examinations
• Onboarded new US and non-US introducing brokers
• Evolved, coordinated, and implemented strategies to enhance regulatory compliance and reduce compliance/legal risk
• Ensured appropriate supervisory processes and controls were establish and documented for each business unit
CHARLES SCHWAB & CO.
SPECIALIST, ADMINISTRATIVE SU PPO R T CHICAGO, IL
2017-2019
• Assisted multiple VPs and MDs of both Compliance & Retail Surveillance Group and Compliance Control Disclosure Group
• Arranged travel, prepared and managed expense reports & reimbursements, managed multiple calendars & distribution lists, scheduled meetings/video conferences/interviews, coordinated office hoteling for visiting management/off-sites/group events/team building activities
• Onboarded new employees, established relationships with outside vendors as well as negotiation of rates & packages, liaised with building’s office, established cooperative relationships with various levels of management & support teams throughout company, and maintained office supplies
• Uploaded & maintained Schwab’s monthly employee outside investment statements, monitored for restricted trades, prepared closed account correspondence, secured maintenance of confidential disclosure information, and aided in conversion of paper statements to electronic format
K I M B E R L Y
R A D F O R D
C ONT A C T INFO EXPERIENCE
773. 817. 9078
********@*****.***
EDUCATION
ILLINOIS STATE UNIVERSITY
Normal, IL
Computer Science
SKILLS
BMO CAPITAL MARKETS,
FIXED INCOME U.S.
SPECIALIST III (PORTFOLIO ANALYTICS) CHICAGO, IL
2008-2015
• Assisted VP of Business Information Systems in production and maintenance of a major fixed-income accounting system serving approximately 350 clients, consisting of banking institutions and private investors
• Provided client support regarding accounting methodology, regulatory reporting, call reporting and monthly balancing
• Input data input, processed new trades, and updated monthly data for over 20,000 holdings, market valuation, cashflows, etc.
• Assisted with system upgrades, trading system conversions, and training of new sales staff in the utilization of a portfolio system
• Performed data interfaces with various Asset Liability Management software
GRIFFIN, KUBIK, STEPHENS
& THOMPSON, INC.
ADMINISTRATIVE SALES ASSISTANT/
DATA SPECIALIST CHICAGO, IL
1991-2008
• Assisted VP of Business Information Systems in automating bond accounting system, data preparation and entry, portfolio processing, reconciling calculations, computer
interfacing/exporting, customer service and problem resolution, and creation/maintenance of procedural documentation
• Assisted CEO, Principal Partners, and Exec. Sales Assistants in daily business functions, coordinated board meetings, and maintained customer files
• Prepared trades and built customer relations
• Provided coverage of reception area, including screening and directing visitors, accepting deliveries, managing petty cash transactions, and securing office at close of business