Experience

TIGRESS FINANCIAL PARTNERS

• United States
• Financial Services
• 1 - 100 Employee

• ROTATIONAL ANALYST | COMPLIANCE & INVESTMENT BANKING

  • Jun 2018 - Present

  COMPLIANCE • Ensured compliance policies and procedures were appropriately being adhered to and documented testing of the procedures as verification of compliance with FINRA and federal regulation • Conducted due diligence investigations and KYC (Know Your Customer) procedures on 200 potential international clients • Identified trends and patterns occurring within or across business units, also identified deficiencies in complying with the firms WSP • Maintained repository of testing work papers and updated corrective action plans • Prepared Compliance Exception Report in Excel for Senior Management review • Complied documentation and assisted in preparing responses to various regulatory requests • Identified and escalated matters of suspicious activity or Firm policy violations, or matters posing a higher risk to Management INVESTMENT BANKING • Conducted quantitative and qualitative analysis on companies seeking to raise equity in the Fintech sector • Created Data Rooms and insured the appropriate compliance review and transaction approvals were obtained • Performed extensive due diligence, researched competitors, history of management, litigation, financials and industry overviews • Conducted research that supports peer comparisons, building competitive landscape scenarios, and performing ROI analysis • Maintained relevant reports and analyses to assist leadership of the Company in evaluating financial and operational performance • Complied financial data and performed financial analyses and reporting (e.g., profit & loss, balance sheet, cash flow, pricing, etc.) • Assessed business ownership infrastructure and identify risks, documenting findings, ensuring that senior management is apprised of key issues, risks, and the appropriate monitoring to mitigate risk • Effectively implemented and adhered to process improvements set forth by the due diligence management pertaining to compliance policies, operational procedures, and the firm's WSP Show less