Experience

Pioneer Financial

• United States
• Financial Services
• 1 - 100 Employee

• Operations Manager

  • Mar 2015 - Present

  New York, United States I facilitate the onboarding process for new clients, review operations requests, and execute trading tasks.



United Nations FCU

• Investment Specialist

  • May 2014 - Feb 2015

  New York, NY - Supported a team of Financial Advisors including the top 3 producing advisors in managing their book of business from opening accounts to servicing clients. - Supervised advisors to ensure compliance with the U.S. Patriot Act and Know Your Client regulations in all our offshore account opening and maintenance procedures. - Coordinated efforts in processing client requests by connecting with offshore firms regarding estimated times of completion and following up with clients. -… Show more - Supported a team of Financial Advisors including the top 3 producing advisors in managing their book of business from opening accounts to servicing clients. - Supervised advisors to ensure compliance with the U.S. Patriot Act and Know Your Client regulations in all our offshore account opening and maintenance procedures. - Coordinated efforts in processing client requests by connecting with offshore firms regarding estimated times of completion and following up with clients. - Distributed Cross Sale Referrals by notifying advisors of when and where to reach clients regarding new accounts and other opportunities. Securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC, and are not insured by credit union insurance, the NCUA or any other government agency, are not deposits or obligations of the credit union, are not guaranteed by the credit union, and are subject to risks, including the possible loss of principal. Raymond James is not affiliated with the financial institution or the investment center. For important disclosure information, please see "Social Media Disclosure"​ link in the "Contact Info" section. Show less



JPMorgan Chase & Co.

• United States
• Financial Services
• 700 & Above Employee

• Control Analyst

  • Oct 2013 - Jan 2014

  Greater New York City Area - Supported the Vice President of Governance and Control Strategy and the Controls management team by reviewing budgets, monthly forecasts, and actual’s for expense reporting. - Collaborated with Finance and HR to align and manage headcount resources across the team while providing in-depth analysis regarding discrepancies. - Partnered with business and functional divisions to gather and compile information for ad-hoc reporting to senior management.

• Investment Assistant

  • Oct 2010 - Sep 2013

  New York, NY - Supported 3 Senior Investment Advisors with over 80 years of combined experience with 2 qualifying for the Top Producers List in 2010. - Promoted from Chase Investment Services to J.P. Morgan’s Private Client Group, an area providing specialized asset management and cash depository solutions. - Reviewed objectives/goals with Investment Advisors and executed strategies to monitor sales pipeline, marketing material distribution, and client communications. - Built and expanded client… Show more - Supported 3 Senior Investment Advisors with over 80 years of combined experience with 2 qualifying for the Top Producers List in 2010. - Promoted from Chase Investment Services to J.P. Morgan’s Private Client Group, an area providing specialized asset management and cash depository solutions. - Reviewed objectives/goals with Investment Advisors and executed strategies to monitor sales pipeline, marketing material distribution, and client communications. - Built and expanded client relationships with Sole Proprietorships, Foundations, and Institutions by advising them on the Asset Allocation products offered by J.P. Morgan. - Coordinated efforts in cross-functional projects regarding client service requests by communicating across J.P. Morgan’s lines of businesses and monitoring progress. - Researched account performance by comparing performance against corresponding benchmarks and summarized the findings for client presentations. - Reviewed daily account activity to ensure accuracy and alerted Advisor or Operations if situations required escalation.



Morgan Stanley

• United States
• Financial Services
• 700 & Above Employee

• Registered Client Associate

  • Jun 2006 - May 2010

  New York, NY - Supported a team of Financial Advisors with $800MM in assets, $2MM in joint production, and 3,000 client accounts. - Increased production on an average of 20% from 2008 - 2010, by identifying and investing idle assets and transferring over additional assets. - Recorded and tracked the allocation of fixed income purchases to client accounts managed by a major Registered Investment Advisor, KLS Professional Advisors. - Prevented at least 5 incorrect wire transfers a month from… Show more - Supported a team of Financial Advisors with $800MM in assets, $2MM in joint production, and 3,000 client accounts. - Increased production on an average of 20% from 2008 - 2010, by identifying and investing idle assets and transferring over additional assets. - Recorded and tracked the allocation of fixed income purchases to client accounts managed by a major Registered Investment Advisor, KLS Professional Advisors. - Prevented at least 5 incorrect wire transfers a month from processing after reviewing the clients' instructions and detecting discrepancies. - Monitored transactions daily having adjusted 5-10 errors a month originally entered by Financial Advisors. - Resolved client disputes including several occasions where High Net Worth clients threatened to leave but stayed after forming solutions and following client specific procedures going forward. - Spearheaded the team’s intern program by hiring and supervising their activities in assisting the team’s day-to-day operations. Show less



Morgan Stanley

• United States
• Financial Services
• 700 & Above Employee

• Intern

  • Jan 2006 - Apr 2006

  New York, NY - Eliminated excess files by scanning documents into client database. - Researched security pricing information and updated cost information accordingly. - Prepared spreadsheets, investment proposals, and client contracts.