Regulatory Compliance Financial Services

YELENA PASTERNAK

**********@*****.*** 619-***-**** San Diego, CA

Professional Summary

Financial Services Professional with 20+ years of broker/dealer and RIA operations experience specializing in trade processing, reconciliation, and regulatory compliance. Proven ability to resolve complex discrepancies, lead cross-functional initiatives, and support trading desks in fast-paced, high-pressure environments. Bilingual in English and Russian, proficient in Spanish. Core Competencies

● Trade Processing & Reconciliation

● Client & Advisor Services

● Regulatory Compliance (SOX, SSA16,

FINRA, FICCA)

● Audit & Risk Reporting

● Cross-Functional Project Leadership

● Data Analytics

● Process Improvement & Project Management

Technical Skills

Data & Analysis Tools

● Microsoft Excel

(VLOOKUPs, Pivot Tables,

Macros)

● SQL (basic)

● Tableau (basic)

Financial Platforms

● BETA

● IntelliSTOR

● DTC

● DST Vision

● Advisor Central

● Vanguard

● Siebel

Collaboration Tools

● Microsoft Office Suite

● SharePoint

● WebEx

● NICE phone system

Professional Experience

LPL Financial, San Diego, CA Feb 2017 – Present

Senior Analyst (Feb 2017 – Present)

● Executed high-volume mutual fund trades and provided support during peak trading periods under the Volume Contingency Plan (VCP).

● Analyzed discrepancies in mutual fund, equity, and alternative investment holdings; resolved complex reconciliation issues impacting client accounts and regulatory compliance.

● Prepared and presented audit reports to Risk and Finance leadership for FINRA-related reviews.

● Advised management on departmental process improvements and served as lead for escalated advisor and client issues.

● Designed and deployed reconciliation protocols that enhanced data accuracy and reduced recurring trade errors.

● Coordinated with audit, remediation, and tech teams on compliance projects (SOX, SSA16, FICCA); participated in UAT and deployment.

Analyst (May 2014 – Feb 2017)

● Researched and corrected discrepancies in client holdings; consistently resolved millions of dollars monthly while maintaining regulatory compliance.

Associate Analyst (Jan 2013 – May 2014)

YELENA PASTERNAK

**********@*****.*** 619-***-**** San Diego, CA

● Developed the logic for the Breaks Management Center database; managed user testing and full deployment.

● Resolved multiple audit issues and collaborated with developers on system enhancements. Senior Specialist (Sep 2009 – Jan 2013)

● Led stock record reconciliation (DTC, CNS, BONY), mutual fund processing, and alternative investments reconciliation.

Operations Specialist Intern (Oct 2005 – Dec 2007)

● Assisted Corporate Actions team and processed dividend payments; developed returned mail handling procedures.

Mercedes Benz, San Diego, CA Aug 2003 – Oct 2005

Administrative Assistant

● Enhanced employee engagement through data entry, customer service, and newsletter preparation. Sports Arena Podiatry Group, San Diego, CA Mar 2000 – Jun 2001 Administrative Assistant

● Managed patient appointments and administrative tasks, ensuring smooth operations. Education

University of California, San Diego

Bachelor of Science, Human Biology (June 2007)

● President’s Education Awards Program, Honor Roll Certifications & Community Leadership

● Member, LPL Working Parents Employee Resource Group (2018 – Present) Recognition

● 27 “High 5” Awards for outstanding performance and initiative

● Spot Bonus Award (2014) for leadership on Breaks Management Center project

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