Experience

Shores Financial LLC

• United States
• Financial Services
• 1 - 100 Employee

• AML Assurance Analyst, Financial Crimes Compliance

  • Jan 2022 - Present

  Remote • Review Fraud Operations Mailbox, Fraud/Senior Investor Protection Mailbox, Customer Identification Program Procedures, Anti Money Laundering/Fraud/Senior Investor Protection Investigations for quality assurance adherence to current procedures and reporting requirements, including Suspicious Activity Reporting • Present monthly and quarterly quality assurance results in meetings with Financial Crimes Compliance and Service Management Teams • Create, Maintain and Update Quality Assurance… Show more • Review Fraud Operations Mailbox, Fraud/Senior Investor Protection Mailbox, Customer Identification Program Procedures, Anti Money Laundering/Fraud/Senior Investor Protection Investigations for quality assurance adherence to current procedures and reporting requirements, including Suspicious Activity Reporting • Present monthly and quarterly quality assurance results in meetings with Financial Crimes Compliance and Service Management Teams • Create, Maintain and Update Quality Assurance desktop procedures • Assist Management with Special Projects Key Accomplishments: • Created Quality Assurance Procedures and process for Senior Investor Protection Investigations review • Assisted with Quality Assurance pilot for Fraud Ops Mailbox review; identified gaps in the workflow of emails from the Fraud Ops Mailbox to the Fraud Mailbox

• Analyst, Financial Crimes Compliance

  • May 2018 - Jan 2022

  Fort Mill, SC/Remote • Managed flow of emails received regarding Fraud, AML, Due Diligence, Negative News, and Senior Investor Protection concerns • Researched potential cases and classified accordingly, provided known evidence, documents and previous history to assist Investigation • Maintained and updated Fraud, Senior Investor Protection, and Financial Crimes Investigations Analyst Mailbox desktop procedures and How to Guides • Subject Matter Expert for the Analyst Role and assisted Management with… Show more • Managed flow of emails received regarding Fraud, AML, Due Diligence, Negative News, and Senior Investor Protection concerns • Researched potential cases and classified accordingly, provided known evidence, documents and previous history to assist Investigation • Maintained and updated Fraud, Senior Investor Protection, and Financial Crimes Investigations Analyst Mailbox desktop procedures and How to Guides • Subject Matter Expert for the Analyst Role and assisted Management with Special Projects • Achieved excellent monthly/quarterly Quality Control scores and trained co-workers Key Accomplishments: • Created Process and Procedures with How to Guides for the Senior Investor Protection Mailbox and Financial Crimes Investigations Analyst Mailbox; providing process improvement and efficient workflow • Organized project with leadership that eliminated unnecessary reports to the Fraud Mailbox, reducing 4500 emails annually • Worked on corporate wide Direct Business Project; provided uniform written procedures that improved overall efficiency and productivity, partnered with Project Manager and Tech Team for process improvement, overall resulted in 2nd highest accounts submitted and retained Assets Under Management of 324.45M

• Senior Compliance Specialist, Registrations

  • May 2017 - May 2018

  Fort Mill, South Carolina, United States • Processed Institutional Advisor new branch set ups, changes, and offices, secondary and split Rep ID’s • Responsible for bank program reporting and researched registration issues • Processed U4 terminations with FINRA for bank programs • Documented processes and procedures for job responsibilities and trained new co-workers • Assigned firm-wide project for updating Home Office Employees on Oracle and FINRA

• Service Center Representative, IS Dedicated 360 & IAS 360

  • Jul 2014 - May 2017

  Fort Mill, South Carolina, United States • Established a foundational knowledge of brokerage and advisory services. Developed a thorough understanding and use of LPL Financial systems to provide excellent guidance and problem resolution • Excelled in researching complex problems. Guided advisors on LPL Financial systems for proper use and error reduction. Specialized in assuming ownership of service requests, setting customer expectations and defining necessary actions to resolve situations • Demonstrated quality customer focus… Show more • Established a foundational knowledge of brokerage and advisory services. Developed a thorough understanding and use of LPL Financial systems to provide excellent guidance and problem resolution • Excelled in researching complex problems. Guided advisors on LPL Financial systems for proper use and error reduction. Specialized in assuming ownership of service requests, setting customer expectations and defining necessary actions to resolve situations • Demonstrated quality customer focus and received outstanding feedback from advisors and assistants • Proven Leader for Customer Availability Score from monthly call monitoring and Quality Service Score Key Accomplishments: • One of four selected to participate in test market team for new Dedicated Independent Advisors • Selected to work with new hires for Front Line Service Experience • Participated in focus group for service center associate knowledge testing



Wells Fargo

• United States
• Financial Services
• 700 & Above Employee

• Personal Banker

  • Sep 2010 - Jul 2014

  Fort Mill, South Carolina, United States • Responsible for client account processing while also cross selling the bank’s other products and services • Specialized in sales and service for new and existing Small Business clients. Worked with business customers employees to enhance benefits and retention. Handled customer service issues and worked to build strong customer relationships • Handled customer service issues and worked to build strong Received outstanding customer feedback reports • Consistently met and exceeded… Show more • Responsible for client account processing while also cross selling the bank’s other products and services • Specialized in sales and service for new and existing Small Business clients. Worked with business customers employees to enhance benefits and retention. Handled customer service issues and worked to build strong customer relationships • Handled customer service issues and worked to build strong Received outstanding customer feedback reports • Consistently met and exceeded quarterly sales quotas Key Accomplishment: All Star Winner 3rd Quarter 2012 – for sales goals Show less



Carolina Water Systems

• Service Coordinator

  • Oct 2007 - Sep 2010

  Charlotte, North Carolina, United States • Responsible for outbound calls to current customers for maintenance and inbound calls to handle system issues. Scheduled and routed appointments for company technicians. Processed service requests along with processing cash and credit card billing • Consistently met and exceeded expectations for service appointments and customer retention • Served as a key consultant for resource requirements on implementing a new customer service and booking software solution Key Accomplishment:… Show more • Responsible for outbound calls to current customers for maintenance and inbound calls to handle system issues. Scheduled and routed appointments for company technicians. Processed service requests along with processing cash and credit card billing • Consistently met and exceeded expectations for service appointments and customer retention • Served as a key consultant for resource requirements on implementing a new customer service and booking software solution Key Accomplishment: Implemented a new customer contact process for past due payments that decreased our customer collections and established 500 new customer service accounts Show less