Experience

NEXT Financial Group

• United States
• Financial Services
• 100 - 200 Employee

• Operations Liaison - Advisory Services

  • Jan 2017 - Present

  Support implementation and ensure smooth transition to new and existing business to new fee-based platform and products rollout. Coordinate the resolution of complex service issues through proactive consultation and issue resolution. Contributes to the development and execution of service strategies and projects. Provide users with answers regarding procedures for various applications request, issue status, and information in general. Contributes to growth and profitability by providing administrative expertise to existing and potential customers. Investigates, analyzes, and develops creative solutions to client specific problems related to systems, operations and administrative requirements. Show less

• Advisor Support Analyst / Branch Office Examiner

  • Jan 2015 - Jan 2017

  Provide resources/support to the Field Sales force by answering questions, researching and solving problems, interpreting policies, standards and procedures by listening/collecting information, securing answers and reporting results to the inquiring party timely and professionally and documenting the results of the inquiry.Conducted onsite audit examinations of Registered Representatives and Office of Supervisory Jurisdiction to assure compliance with firm policies, FINRA and SEC regulatory rules, and applicable statutes. Coordinated with Registered Representatives and Office of Supervisory Jurisdiction to meet and execute the annual audit plan. Analyzed sale practices to identify potential red flags in trading practices, investment strategies that conflict with customer suitability information, and other potential issues that could result in a customer complaint or regulatory violations. Performed follow-up interviews and reviews to verify deficiencies noted during onsite audit examination have been corrected and remedied. Evaluated and reviewed internal supervisory controls in key areas of risk to determine quality, reliability and compliance with Broker-Dealer requirements. Show less



Primerica

• United States
• Financial Services
• 700 & Above Employee

• Independent Representative

  • Mar 2010 - Jan 2020

  Primerica is a leading provider of term life insurance. Working to help families become financially independent, Primerica is a Main Street company for Main Street families. Contact our office today for more information about how we can help you. Primerica is a leading provider of term life insurance. Working to help families become financially independent, Primerica is a Main Street company for Main Street families. Contact our office today for more information about how we can help you.



Metropolitan Transit Authority of Harris County

• United States
• Truck Transportation
• 700 & Above Employee

• Senior Auditor II

  • May 2007 - Mar 2010

  Conduct reviews of assigned organizational and functional activities and evaluates the adequacy and effectiveness of management controls. Conduct audit planning in assigned areas to assess risk and controls to achieve established objectives. Establish risk-based audit program to perform audit testing of specified area and identify reportable issues and dimension of risk. Determine data requirements and gather, verify, and analyze evidentiary data. Identify existing and/or potential problem areas and develop appropriate audit comments and recommendations for a solution. Prepare formal written reports. Develop work papers and documentation of findings and identifying causes of and/or contributing factors associated with problems and/or control weaknesses. Finalize audit reports for Managements review, issuance, and follow-through on implementation of audit recommendations. Lastly, perform other duties and/or special projects as assigned. Show less



Harris County Auditor's Office

• Houston, Texas

• Staff Auditor

  • Feb 2001 - May 2007

  Perform financial and operational audits of various County departments/affiliates including Sports & Convention Corporation, Hospital District, Community Development Assisted Housing, Child Support, Risk Management/Workers’ Compensation and Sheriff’s Office. Evaluate compliance with federal and state statutes. Identify internal control issues and prepare recommendations for management. Assist Senior Auditor with audit planning procedures and the development of draft audit reports. Perform audit program steps during the fieldwork phase of the audit engagement. Prepare audit work papers that document work performed. Lastly, discuss audit findings and recommendations with audit management. Show less



Louisiana State Police Bureau of Investigation - Casino Gaming Division

• Lafayette, Louisiana

• Auditor II

  • Mar 1994 - Jan 2001

  Regulatory and Compliance Auditing of Casinos on Indian Reservations in the state of Louisiana. Regulatory and Compliance Auditing of Casinos on Indian Reservations in the state of Louisiana.