Marco Perez
Compliance Officer at InSight Securities, Inc.- USA- Claim this Profile
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Topline Score
Bio
Credentials
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Series 66
NASAAJun, 2023- Sep, 2024 -
Series 7
FINRAFeb, 2023- Sep, 2024 -
Securities Industry Essentials (SIE)
FINRAJan, 2022- Sep, 2024
Experience
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InSight Securities, Inc.- USA
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United States
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Financial Services
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1 - 100 Employee
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Compliance Officer
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Nov 2022 - Present
Develop, implement and monitor compliance policies and procedures according to current regulations Review and approve new accounts including KYC description and supporting documentation Coordinate with the clearing firm’s AML, treasury and relevant branches regarding AML inquiries, and incoming/outgoing wires Facilitate communication between the clearing/custodian firm and advisors in time sensitive matters such as margin calls/ money due and regulation violations Ensure compliance with FINCEN, OFAC, & BSA/AML related laws and regulations through weekly and biweekly report updates Show less
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Charles Schwab
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United States
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Financial Services
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700 & Above Employee
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Enterprise Risk Engine Specialist
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May 2021 - Nov 2022
• Utilize ACTIMIZE as our cloud based system to facilitate our risk assessment• Review high risk transactions prior to releasing funds• Independently determine if transactions are fraudulent and should be canceled or are legitimate and should be processed and fulfilled• Contact clients in cases of suspicion and/or possible fraud• File Suspicious Activity Report (SAR) as needed per each individual wire transfer• Analyze transaction, paperwork, and signatures to deem it legitimate for release of funds• Escalate fraud scenarios to the correct law enforcement authority • Analyze reports to identify fraud and scam trends and present to multiple teams such findings Show less
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Move Money Hotline Specialist
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Nov 2019 - May 2021
• Provide attentive customer service to clients and representatives• Exercise adequate phone etiquette • Assess and resolve client issues pertaining to wires, deposits, transfers, checks and/or account issues• Educate business partners and clients of the necessary documents for specific transactions• Ensure policies are adhered to by both, representatives and clients• Maneuver through multiple software systems for the successful creation and completion of monetary transactions such as but not limited to: deposits, check orders, incoming and outgoing wires, ACH transfers, check voids, international transactions etc. Show less
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Livingston International
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Canada
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International Trade and Development
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700 & Above Employee
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Freight Coordinator
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Jan 2019 - Nov 2019
• Coordinate the routing of import and export bookings with airline and ocean carriers • Timely preparation of rates and quotes for customers and overseas agents • Collaborate and build relationships with customers, carriers, and agent representatives regarding air, ocean, import, and export products to strengthen service competitiveness • Prepare all necessary shipping documentation related to international bookings and process all import/export documentation to clearing agents to include: (HAWB's, MAWB's, AES's, Manifest, Shipping Instructions, Haz Cargo Decl., Bill of Ladings, and Certificate of Origin, etc.) • Dispatch pick-ups to authorized agents and drayage companies, shipping lines, airlines, trucking companies, clearing agents, warehouses, and all other parties involved in the shipment • Track and trace shipments, researching and resolving any issues regarding billing or shipping discrepancies, communicate timely correspondence back to both customers and vendors • Act as a liaison with Custom Brokers and agents, along with Ocean and Air Terminal Operators Show less
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Aerotek
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Musicians
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1 - 100 Employee
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Professional Services Recruiter
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Mar 2018 - Dec 2018
• Recruit for a variety of positions such as customer service, data entry, human resources personnel, warehouse operations personnel and many others • Identify key skills needed for clients positions • Cold call 50+ people daily to identify potential candidates about current client job opportunities • Screen possible candidates to identify potential employees • Interview candidate to determine client culture fit and ensure candidate is committed to the job being offered • Build relationships with candidates and clients to ensure both are a fit for each other • Maintain contact during and after assignment completion to ensure service quality Show less
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New AnswerNet
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United States
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Inbound Customer Service Representative
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Oct 2017 - Jul 2018
• Provide attentive customer service to over 30 customers per hour for a variety of accounts • Serve as a third-party dispatcher service for a transportation company • Provide money codes to drivers and track down drivers for brokers • Provide ETA’s for loads • Navigate through FleetOne & ITS dispatch pages • Provide attentive customer service to over 30 customers per hour for a variety of accounts • Serve as a third-party dispatcher service for a transportation company • Provide money codes to drivers and track down drivers for brokers • Provide ETA’s for loads • Navigate through FleetOne & ITS dispatch pages
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La Semilla Food Center
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United States
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Food and Beverage Manufacturing
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1 - 100 Employee
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Translator & Interpreter
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Apr 2016 - May 2017
● Provided written interpretation services on documents pertaining to nutrition, workshops, pamphlets, guides, presentations, and reading articles. ● Discussed interpretation requirements with clients to ensure error free documents and establish reasonable deadlines. ● Ensure that all written translations conform to the original text in terms of technicality and terminology. ● Volunteered for agricultural labor using sustainable agricultural practices. ● Washed, cleaned and stored produce for further distribution and sale. Show less
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Education
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2013 - 2017
New Mexico State University
Bachelor's degree, Communication and Media Studies -
El Paso Community College
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Wayland Baptist University
Community
