Experience

Shores Financial LLC

• United States
• Financial Services
• 1 - 100 Employee

• Sr. Fraud Investigator

  • Jun 2022 - Present

  Remote

• Sr. Regional Supervisory Principal

  • Jan 2018 - Present

  Greater New Orleans Area



Capital One Securities

• Trading and Operations Associate

  • Apr 2016 - Jan 2018

  Greater New Orleans Area First line associate responsible for back office support of all settlement and delivery functions associated with Institutional equity trades. Responsible for trade allocation and resolution, customer onboarding, report review, and daily monitoring of customer and firm accounts. Also, fulfill periodic audit request from both internal and external auditors. • Contributed to system and procedural updates to improve operational and trading efficiencies. • Responsible for Principal review… Show more First line associate responsible for back office support of all settlement and delivery functions associated with Institutional equity trades. Responsible for trade allocation and resolution, customer onboarding, report review, and daily monitoring of customer and firm accounts. Also, fulfill periodic audit request from both internal and external auditors. • Contributed to system and procedural updates to improve operational and trading efficiencies. • Responsible for Principal review of daily Order Management System and OATS trade reports. • Primary back office contact for clients and custodian banks for cancel/rebills, DK’s, security delivery, and open items. • Implemented new controls and procedures to correct gaps from repeat audit findings. Show less



Capital One

• United States
• Financial Services
• 700 & Above Employee

• Brokerage Principal

  • Nov 2012 - Dec 2015

  Greater New Orleans Area Responsible for supervising the suitability and approval of new accounts in brokerage products (Variable Annuity, Fixed Annuity, Mutual funds, and Managed) ensuring that advisors are meeting the standards and requirements set forth by regulatory agencies and the firm. Approved Mutual Fund, Stock, UIT, Fixed Income, and Option trades. • Highest level non- managerial Principal in the Firm. • Served as a mentor and trainer for other Principals on the team. • Assisted with updating… Show more Responsible for supervising the suitability and approval of new accounts in brokerage products (Variable Annuity, Fixed Annuity, Mutual funds, and Managed) ensuring that advisors are meeting the standards and requirements set forth by regulatory agencies and the firm. Approved Mutual Fund, Stock, UIT, Fixed Income, and Option trades. • Highest level non- managerial Principal in the Firm. • Served as a mentor and trainer for other Principals on the team. • Assisted with updating new forms and procedures. • Acted as team liaison to other groups within the department as well as other lines of business. • Received Most Valuable Employee award in 2013.

• Trading Specialist

  • Jan 2010 - Nov 2012

  Greater New Orleans Area Reviewed and approved various items received from advisors and clients including but not limited to IRA distributions, account transfers, assets movements, and client requests. Also, performed other duties such as imputing security trades, reviewing reports, and monitoring workflow queues in accordance with established procedures and service level expectations. • Assisted in the creation of new hire training manuals and procedures. • Contributed to the redesign of many of the Firm’s… Show more Reviewed and approved various items received from advisors and clients including but not limited to IRA distributions, account transfers, assets movements, and client requests. Also, performed other duties such as imputing security trades, reviewing reports, and monitoring workflow queues in accordance with established procedures and service level expectations. • Assisted in the creation of new hire training manuals and procedures. • Contributed to the redesign of many of the Firm’s trading forms such as the Mutual Fund Transaction, Structured Product Transaction, and Change of Investment Strategy forms. • Led team meetings and brought ideas for Firm efficiencies to management for consideration. • Reviewed daily reports for firm and regulatory compliance issues.

• Customer Service

  • Aug 2007 - Jan 2010

  Greater New Orleans Area Handled routine and complex matters for clients’ accounts encompassing the processing of name/address changes, account applications, money movement, bank authorizations, NIGOs, questions regarding client statements, electronic access to accounts, and client/rep request. • Cross trained on all customer service desks (New Accounts, Settlements, Maintenance, and IRAs). • Created new desk procedures, and introduced improved best practices and research methods. • Maintained high… Show more Handled routine and complex matters for clients’ accounts encompassing the processing of name/address changes, account applications, money movement, bank authorizations, NIGOs, questions regarding client statements, electronic access to accounts, and client/rep request. • Cross trained on all customer service desks (New Accounts, Settlements, Maintenance, and IRAs). • Created new desk procedures, and introduced improved best practices and research methods. • Maintained high levels of efficiency while processing multiple desk duties and customer calls.