Experience

Financial Independence Group

• United States
• Insurance
• 100 - 200 Employee

• Senior Financial Specialist

  • May 2012 - Present

  Cornelius, NC •Directly reporting to the CFO. •Responsible for handling commission income for FIG, debit accounts, and marketing consultant payroll. •Calulate and distribute all marketing program payouts and special deals. •Record monthly CPC totals in Advisors Advantage Spreadsheet. •Update Premium Forces Report monthly. •Submit marketing totals for second floor screens. •Allianz permission and users. •Manually enter and track commission statements monthly. •Analyze and reconcile… Show more •Directly reporting to the CFO. •Responsible for handling commission income for FIG, debit accounts, and marketing consultant payroll. •Calulate and distribute all marketing program payouts and special deals. •Record monthly CPC totals in Advisors Advantage Spreadsheet. •Update Premium Forces Report monthly. •Submit marketing totals for second floor screens. •Allianz permission and users. •Manually enter and track commission statements monthly. •Analyze and reconcile commission statements. •Upper management reporting. Show less



Wells Fargo Advisors

• United States
• Financial Services
• 700 & Above Employee

• Compliance Analyst

  • Mar 2007 - May 2012

  •Administer the process that ensures Wells Fargo Advisors representatives are properly licensed and registered with valid federal, state, and regulatory organizations. •Responsible for processing FINRA U4 forms for new applicants as well as transfers. •Assist representatives in the preparation, processing, and maintenance of their securities, investment advisor, and commodity registrations. •Analyze FBI background checks for new representatives. •Analyze FINRA Registration Forms… Show more •Administer the process that ensures Wells Fargo Advisors representatives are properly licensed and registered with valid federal, state, and regulatory organizations. •Responsible for processing FINRA U4 forms for new applicants as well as transfers. •Assist representatives in the preparation, processing, and maintenance of their securities, investment advisor, and commodity registrations. •Analyze FBI background checks for new representatives. •Analyze FINRA Registration Forms that needed further review for compliance metrics that abide with both Wells Fargo's and FINRA employment standards. •Gather input from cross functional departments to further route FINRA registrations. •Manage cross functional communication to ensure timely responses in order to avoid FINRA issued late fees to Wells Fargo. •Database maintenance for over 8500 employees. •Ensure accurate information is reported in timely manner to ensure FINRA compliance. •Partner with 41 Regional Managers, 41 Operations Managers, and several hundred representatives daily. •Analyze and process large amounts of detailed information for representatives and managers. •Adapted to merger related activities, while training new analysts on our processes. Show less