Operations and Compliance Specialist with Risk Focus

Lucy Rosario

Winter Park FL/407-***-****

OPERATIONS SPECIALIST/CONTROL ADMINISTRATIVE PROFESSIONAL

Highly qualified Operations Specialist/Quality assurance team member with extensive experience advising on operating procedures and business practices in compliance regulatory requirements and accreditation standards. Leverage unique combination of strategic analysis and business acumen to fuel success. Research and analyze operations to devise high-impact strategies to mitigate risk. Core strengths include:

Strategic Analysis Complex Project Management Cross-functional Communications Time Management

Risk Management and Mitigation Loss Prevention Training and Development CAREER EXPERIENCE

Axiom Bank- Hybrid

Deposit Operations Specialist I 2023-Present

Investigating customer questions and issues and following up as necessary with solutions or escalation to management. Maintaining databases of customer information and retrieving and analyzing information as needed.

• Monitors and addresses all stop payments, rejects, NSF items, return deposit items, ACH reject transactions, and other posting issues daily.

• Processes stop payments on checks and ACH payments as requested by customers or other departments.

• Ensure that all documents and signatures for Address Change, TDA’s, Dormant accounts are received and accurate.

• Verified signatures for RDC, Remote, Mobile and ATMs Deposits.

• Managing logistics, including inventory control, order fulfillment, and supply chain processes.

• Developing and maintaining detailed operational reports and documentation to guide decision- making.

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Macy’s Altamonte Furniture Gallery

Captain/ Manager 2023- 2023

Furniture Gallery Captain supports sales, support, and administrative functions within Big Ticket

(Furniture / Mattresses / Rugs) and the 4 walls of the Furniture Gallery, providing override capability, driving business effectiveness, and focusing on assigned tasks as defined by the Store Manager/People Leader.

• Manage customer and colleague flow to the needs of the business.

• Execute store opening and closing procedures (with access to alarms systems and keys)

• Assist people leader with managing workload and/or projects as requested.

• Balance vault and store checkbook and perform other cash functions daily.

• Participate in Active Supervision by circulating the selling floor, directing, and redirecting colleagues, while supporting daily leadership priorities to optimize the customer experience and support sales volume within specific area of responsibility.

• Educate others in the use store systems such as POS, MPOS, RF equipment, MyClient, SOCR, MyStore App

• Coordinate all functions of the hiring process, including prescreening applicants, correspondence with applicants, scheduling interviews with store management, and onboarding.

• Coordinate distribution of all incoming communications (including faxes, e-mails, memos, letters, newsletters, and phone calls) from customers, employees, management, and the public.

• Perform all applicable support and/or administrative duties in addition to the above

• Manager customer service issues to completion

PNC Bank- Remote 2021- 2023

Client Solution Specialist/Technical Advisor - Treasury Management Client Care

● Prepares, reviews and verifies documents and relevant information for accuracy

● May administer implements plans

● Performs common processing and ensures compliance and standard regulations and processes

● Initiates, updates and verifies client, account or transaction details in relevant systems-applications

● Provide reports as needed

● Acts as point of contacts for clients, client teams or service partners and may act as an escalation point for client implementation and servicing issues

● Supporting the roll-out of new applications

● Testing and evaluating new technologies

● Troubleshooting technical issues

● Resolving network issues

● Talking customers through a series of actions to resolve a problem Florida Department of Economic Opportunity - Remote 2020-2021

• Update and report unemployment claim information to claimants

• Assisted with pin reset for locked claims

CHARLES SCHWAB & CO., INC. 2005 - 2019

Control Support and Surveillance – QA Associate, Operational Control 2009 – 2019 Conduct quality assurance reviews for operational business areas including Move Money Solutions, Schwab One and Banking Operations, and Managed Account Operations. Able to review business partner output around a variety of functions, to determine if the work was performed according to established procedures, and to report the results to management.

● Successfully perform both analytical and administrative components and provides the opportunity to form strong partnerships with supported business units while aiding them in meeting their control and supervisory requirements.

● Coordinated deadline-driven and time management to meet service levels. Functions include Execute control testing and monitoring on behalf business line management complete daily, weekly, and monthly tasks by assigned target dates with limited supervision

● Listened and delivered feedback and coaching to partners on VERINT calls utilizing Basic Call Behaviors Guide

● Applied discretion regarding escalations and issues Build mastery and subject matter expertise around the functions reviewed and facilitate effective conversations with business partners

● Recommend and implement improvements to the QA process based on observations

● Analyzed deficiencies, recommend solutions to improve control design and execution Cashiering Operations – Operations Specialist 2006 – 2009 Reviewed checks presented for payment for funding availability and risk prevention.

● Processed check order requests through 3rd party vendor system.

● Handled bank account maintenance including account closures and negative balance review.

● Provide subject matter expertise and being a resource to team members

● Cross-functionally communicated with internal and external partners, including third-party vendors, customer service teams, branch representatives and other operational teams.

● Processed Money Link transfers and profile set-ups

● Processed client requests for Schwab-issued checks, including overnight requests.

● Performed inbound/outbound money movement verification calls

● Printed and mailed Schwab Bank Cashier’s Checks.

● Processed Simple IRA transmittal forms for AS and IS clients.

● Reviewed and processed Management Fees for Investment Advisors via management fee system.

● Assisted in set up for recurring dividend/interest payouts via MoneyLink or Check.

● Verified the validity of Schwab issued checks for outside financial institutions.

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Document Control – Operations Associate 2005 – 2006 Sorted, analyzed and scanned incoming client documents into our imaging system, and validating them into the proper workflows.

● Documented prepping and scanning functions or indexing/validation functions.

● Assisted department with meeting critical cut-off times during periods of high-volume spikes.

● Received, prepared, and scanned all checks into the Check Deposit Automation system COMPUTER SKILLS

Excel, Microsoft Word, OneNote, Outlook, Swiss Workflow, ACS, Client Central, MYQ, Compliance Link, OnDemand, TraQer, Oasis, ODB Matric, S1BO, Service Tracking, Pay No Pay, Bridger, PD Teller/Citrix, SharePoint

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