Experience

1st Global

• United States
• Financial Services
• 1 - 100 Employee

• Director-Continuous Improvement & Resolution Support

  • Oct 2012 - Present

  1. Currently review internal audits with operations department directors to build solutions or processes to minimize company risk.2. Develop projects that include OFAC reporting, CIP processes, FINRA 2111/2090 process, SEC 17cAd-17 lost security and unresponsive payee that improve the efficiencies within operations.3. Currently oversee the new technology rollout to our advisors by testing, training and launching new efficient processes with our integrated cashiering platform, user access and remote check deposit. Show less

• Director-Transfer of Assets & Resolution Support

  • Oct 2011 - Oct 2012

  1. Oversaw the entire Not In Good Order (NIGO) paperwork for he entire operations group.2. Worked closely with advisors and/or assistants in providing education an training.3. Reviewed and maintained the Customer Identification Process (CIP), books and records program, address change report and restrictions reporting.4. Reviewed quality results for departments and award employees for exceptional quality results.5. Presented to new advisors and their assistants on the operational aspects of Transfer of Assets and Resolution Support at Matrix meetings. Show less

• Director- Transfer of Assets & Cashiering

  • Aug 2005 - Oct 2011

  1. Oversaw and ensured that all transfers for our advisors were processed timely and corrected and handled any escalated items.2. Oversaw and ensured that all cashiering functions were processed in a timely manner which included: wires, outgoing checks and stock, deposits of checks and stock certificates, Direct Registration System (DRS), Deposit/Withdrawal at Custodian (DWAC), Depository Trust Company (DTC), retirement and non-retirement distributions and journals.3. Reviewed and maintained the suspicious activity report for the company as well as the incoming wire report.4. Processed quality results for departments and award employees for exceptional quality results.5. Presented to new advisors and their assistants the operational aspects of Transfer of Assets and Cashiering at Matrix meetings. Show less



LD Lowe Wealth Advisory

• United States
• Financial Services
• 1 - 100 Employee

• Director of Administration

  • Aug 2003 - Aug 2005

  1. Processed and tracked all new accounts, ensured that accounts funded in a timely manner. 2. Maintained and updated approximately 10,000 client and prospect information in a database. 3. Researched and created profiles for clients to establish clients net worth and develop a complete financial plan for the client, using Profiles plus software. 4. Prepared and organized paperwork for client meetings and ordered all marketing material for clients. 5. Created excel spreadsheets to organize client account values and account types. Show less