Salomon Smith Barney
- Aided Financial Consultants in increasing client base and gross production.
- Interacted daily with Operations staff to address and resolve trading discrepancies.
Jun 2007 - Mar 2009
Branch Monitoring Liaison
- Assist Branch Regional Management with the tracking and monitoring of Branch Supervision.
- Oversee various systems projects. Work with various systems areas to create and develop supervisory tools/reports for the branches.
- Monitor regional/retail branch supervision from a quantitative standpoint.
- Run Branch, Regional level filters on Compliance/Audit items. Track timely use of Management Supervisory tools to ensure support staff understands and follows all rules and regulations of the regulatory agencies as well as Firm policy and procedure.
- Work with various systems areas to create and develop supervisory tools/reports for the branches.
Jun 2005 - Jun 2007
Assistant Operations Manager
- Assist in managing the daily work of branch operations staff.
- Assist Operations Manager in supervising and coordinating operations staff and work assignments..
- Supervise a weekly audit of unused checks, and receipts to ensure security.
- Review branch examination findings with Operations Manager; assist in responding to audit and implementing recommendations.
- Be alert for compliance violations and developing client problems, report any unusual or unethical situations to the Operations Manager.
Feb 2002 - Jun 2004
Branch Compliance Administrator/JPMorgan Chase Escalation Compliance Officer
JPMorgan Chase Investment Services Corp
- Monitored sales and daily trade blotters to ensure compliance with appropriate rules, regulations and Firm policies. Conducted customer due diligence to ensure compliance with Firm policies regarding authority, documentation and suitability.
- Reviewed all incoming & outgoing communications, E-mail and Mutual Fund surveillance, New Accounts, AML & KYC Compliance literature as well as the continuing education program.
- Approved advertising and marketing materials, annuity and mutual fund sales literature.
- Investigated and resolved complex, time-sensitive, high-impact problems for the broker/dealer and the insurance agency in order to maintain and heighten the client relationship.
- Served as liaison by remunerating clients and/or helping maintain the integrity of the firm. Write detailed correspondence in response to Executive Office complaints.
- Responded directly to NASD, SEC, and FRB inquiries for the Compliance Department.
Jun 1998 - Jul 2001
New Accounts Clerk
Salomon Smith Barney
- Assisted Financial Consultants and support staff with questions pertaining to documentation and account title formatting.
- Cross Trained as Cashier, which included processing securities, guaranteeing proper delivery and receipt.