Experience

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  Allen Maxwell & Silver

  • Fair Lawn NJ

  • Administrative Assistant

    • Mar 2011 - Present
    • Fair Lawn NJ

    Client liaison to top clients, accessing directly into their platforms in order to provide documents, payment verifications and important information for 40+ commercial collectors. Interact directly with clients on behalf of collectors to assist in productivity.Assist receptionist with answering ...

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  UBS Wealth Management

  • Switzerland
  • Financial Services
  • 700 & Above Employee

  • Risk & Quality

    • Jun 2006 - Apr 2009

    Maintained Sarbanes-Oxley Section 404 (SOX) control standards to comply with internal auditing standards. Composed action plans for non-compliant certifiers and monitored weekly progress report to executive management.Coordinated with Quality Assurance Team in establishing new controls when risk gaps were identified.Provided meeting training to ease the use of the Operational Risk Management (ORA) tool.Supported 50+ certifiers to ensure clarity of responsibilities during semi-annual certification.

  • Lead Associate

    • Jun 2006 - Feb 2008

    Attended weekly Voluntary Compliance Program (VCP) Remediation meetings to discuss the Corporate Employee Financial Services division exposure within UBS.Assisted line managers with reviews and sign-off on Quarterly End User Entitlements Review. Recorded minutes and assisted in coordinating data for Weekly Incident Report and Triage meetings.Defined quality procedures in conjunction with mandatory compliance responsibilities to operating staff.Reported on a monthly basis 16 key metrics to Risk Quality Management (RQM) personnel.Organized new employee orientation to review individual SOX responsibilities to increase awareness of the importance of risk management.

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  Mellon Financial Services

  • Quality Control Coordinator

    • Aug 1999 - Jan 2006

    Reviewed corporate client mailing for accuracy, clarity and consistency including proxy cards, addresses and canned letters sent to clients.Detailed and reported all corrections/adjustments to the appropriate departmentsSix Sigma Green Belt training sitting on various committees to review procedures to streamline processes Assisted in quarterly 2 day Continuous Process Improvement Training for classes of 20+ employees from call center, sales or management personnel.

  • Quality

    • 1999 - 2006