Experience

District of Columbia Department of Insurance, Securities and Banking (DISB)

• United States
• Government Administration
• 1 - 100 Employee

• Securities Registration Analyst

  • Mar 2020 - Present

  Examine applications for the registration and notice filing of securities offerings to determine whether full and accurate disclosure of eligibility information has been made by the applicant and whether grounds for denial of registration or notice filing of securities offering exist. Ensure compliance with the Registrations and notice filing provisions of the District of Columbia securities laws, while maintaining records of the data obtained from other governmental agencies relative to the examination of agent issuer’s information provided in registration applications and notice filing. Review and accept registration fees, process payments and communicate effectively with external clients/ issuers under the Securities Registration and Tracking System. (Applications include STAR, Blue Express, NAASA Electronic File Depository, and IBM FileNet) Manually import several transactions for automated processing, by transferring XML data files into multiple systems, and testing systems periodically for efficiency Provide statistical information for various reports under the Securities Registration and Tracking System.



T. Rowe Price

• United States
• Financial Services
• 700 & Above Employee

• Compliance Data Analyst II

  • Jun 2019 - Dec 2019

  • Reviewed and monitored Cash & non-cash transactions for financial advisors to adhere to compliance standards • Used various software (including Salesforce, ServiceNow, Compliance tools and Excel to run, track and report audit findings • Completed multiple special projects backdated from 2017 to current year • Managed monthly sales expense reports and metrics • Presented audit findings to Senior level management and cross communicated with other departments. • Audited reports and Sales activities, finding opportunities for process improvements • Reconciled transactions by comparing and correcting data and performing data entries. • Analyzed results; monitoring changes; identifying trends; recommending actions to management



Morgan Stanley

• United States
• Financial Services
• 700 & Above Employee

• AML/Fraud Operations- Payment Screening Associate

  • Apr 2018 - Jun 2019

  • Screened and investigated incoming and outgoing wire transfers for individuals and entities on the Office of Foreign Assets Control (OFAC) sanctions list to prevent money laundering and illegal activity and mitigate operational risk• Communicated with internal stakeholders to provide status updates and elicit information in order to strategically prioritize payments to align with external client needs• Ensured documentation and standard operating procedures were up to date and maintained a current understanding of money laundering and terrorist financing issues, including policies and procedures.• Analyzed financial data, created and delivered reporting on process effectiveness to leadership team,• Established and maintained effective working relationships with global teams.

• Sr Operations Associate- Retirement Support Services

  • Dec 2011 - Apr 2018

  • Analyzed and processed account specific transactions and adjustments to ensure efficiency including but not limited to, reopening and closing accounts, contribution adjustments, Tax reporting adjustments, and distributions/distribution reversals.• Performed the initial and final review of documentation , in order to effectively distribute cash and securities to designated beneficiary or entities.• Actively created internal relationships with the Morgan Stanley branches to help streamline the productivity of the firm by interacting through email, phone calls and internal systems.• Accurately managed clients’ accounts by validating that proper documentation is received and performing account maintenance.• Assisted with special projects periodically to effectively increase productivity of the department and firm.



Surreal Sounds Ent.

• CEO

  • Sep 2010 - Dec 2012

  • Analyzed and documented business processes and issues; implemented solutions to enhance efficiencies. Pursued and maintained new and already established business relationships. • Constantly innovated and created new marketing techniques to promote the business and attract new customers. Purchased and managed inventory items. • Obtained the needs of the clients and establishing good relationship with customers. • Analyzed and documented business processes and issues; implemented solutions to enhance efficiencies. Pursued and maintained new and already established business relationships. • Constantly innovated and created new marketing techniques to promote the business and attract new customers. Purchased and managed inventory items. • Obtained the needs of the clients and establishing good relationship with customers.

• Financial Services Representative

  • Feb 2007 - Jan 2010

  • Performed the initial and final review of documentation submitted by Client Service Associates and Financial Advisors and processed account specific transactions and adjustments • Used judgement to make account decisions based on departmental procedures and in compliance with State, IRS and FINRA regulations. • Managed IRA Tax Reporting for IRA and Retirement Plan clients (forms include 5498,1099R and 1042s), • Recognized the priorities of stakeholders to ensure business needs were met, adhering to and protecting client confidentiality, and ensuring top quality client experience. • Managed special projects periodically to effectively increase productivity of the department and firm. • Supported IT departments by performing various test scripts and validating functionality of software and financial products. • Diligently worked with associates, team leads and the VP of Operations to complete daily tasks, share market and systems knowledge, issue follow-ups and escalations, and resolve exceptions that impact day-to-day operations. • Ran reports for year–end, RMD and tax reporting purposes.