Compliance Associate / Registration Specialist

• Feb 2019 - Present

• Created and executed on-boarding process for Registered Representatives and Staff. Detailed approach while completing background checks using CRD, BIG, Google and Court searches. • Responsible for reviewing and compiling all Pre-Hire background material for the Hiring Committees Review. • Monitoring all Outside Business activities and Outside Investment Accounts for approvals, amending Form U4, sending 407 letters. • Excellent time management abilities during the accomplishment of tasks such as processing Forms U4, U5, BD, BR. Filing both Firm and Individual updates in CRD. • Daily reconciliation of the FINRA CRD Account, monthly reviews of the Firms CRD E-Bill account for submission to Accounts Payable. • Acted as reminder mechanism for FINRA Continuing Education Sessions. • Solid communication skills while collaborating with individuals and processing all responses to FINRA, SEC, State Examiners and Firm Counsel. • Completed the Firms Annual Compliance Attestation (ACA), Annual Firm Element with Reg Ed, FRINA State Registration Renewal. Show less

Adminstrative Assistant/Front Desk

• Mar 2018 - May 2018

Merrithew & Thorsten, Inc. - Investment Advisory Firm Merrithew & Thorsten, Inc. - Investment Advisory Firm

Senior Compliance Associate / Registration Specialist

• Mar 2011 - Aug 2016

• Excellent time management abilities during the accomplishment of tasks such as processing Forms U4, U5, BD, BR. Filing both Firm and Individual updates in CRD /IARD. • Daily reconciliation of both CRD and IARD Accounts. • Acted as reminder mechanism for FINRA Continuing Education Sessions. • Reviewed FINRA Request Manager daily for Inquires and Requests. Established and maintained both electronic and documentation files until requests where resolved. • Served as liaison for the handling of all requests during; FINRA/SEC Exams and State Audits. • Created and maintained FINRA Arbitration files. Notified E&O carrier, Counsel and Individual named in Arbitration. Compiled and reviewed all documents requested from Counsel. • Solid communication skills while collaborating with individuals and processing all responses to FINRA, SEC, State Examiners and Firm Counsel. • Firm wide distribution of Compliance Bulletins, Memos, and Alerts regarding FINRA Regulator Notices, Firms Procedures and Policies • Handled all State Registration requests for the Firm and Individuals. Completed firm wide state renewal processing for six years. • Reviewed and created Database for Document Archiving, Retention and Shredding. • Completed many tasks such as processing RBC access requests, maintaining database for RBC User ID’s, Rep ID’s and Ad Hoc requests. • Managed the Insurance Licensing for the Insurance Company and Executive management. Human Resources Administrator • Created and executed the on-boarding process for Registered Representatives and Staff. • Detailed approach while completing background checks using Lexis Nexis, BIG, Equifax, Google and Court searches. • Responsible for reviewing all New Hire Employee paperwork for outside Human Resource vendor. • Completed the Termination process for all employees. • Annual Healthcare Coverage Renewal processing for six years. Show less

Executive Assistant Branch Manager

• Mar 2007 - Dec 2008

• Played a vital role in the coordination of events including monthly sales meetings, in-house breakfasts, and lunches with external wholesalers • Diligently assisted 6 registered representatives with strong administrative support during the service of their client base, including answering phones, opening new accounts, resolving trade problems, updating accounts, and typing correspondences • Efficiently processed a myriad of tasks such as taking client inquiry checks, wiring funds, transferring stocks, confirming trades, and completing statement and cost basis inquiries • Aided clients in the selling of their positions (Restricted stock 144, 144K) through the tracking of stock positions as well as their history with the Company and transfer agents • Proactively accomplished Back Office Operations while complying with regulations and providing knowledgeable assistance to affiliates in regards to servicing their clients; also, punctiliously processed asset transfers which included completing all incoming and outgoing transfers and IRA Distributions Show less

Administrative Assistant - Director, Project Services

• Nov 2006 - Feb 2007

Temporary Assignment - Tishman Speyer / Goldman Sachs Temporary Assignment - Tishman Speyer / Goldman Sachs

Administrative Assistant Vice President

• Jul 2006 - Sep 2006

Temporary assignment -Urban Engineers of New York PC Temporary assignment -Urban Engineers of New York PC

Executive Assistant Office Manager

• Jan 2004 - Sep 2005

• Supported the Business Manager and the President / Business Representative of a 391 member local while handling tasks such as bookkeeping, accounts payable and receivable, financial statements, bank reconciliation, payroll and taxes. Responded to all member questions concerning the Union, job site, location, contractors, pay rate, and certificates. • Supported the Business Manager and the President / Business Representative of a 391 member local while handling tasks such as bookkeeping, accounts payable and receivable, financial statements, bank reconciliation, payroll and taxes. Responded to all member questions concerning the Union, job site, location, contractors, pay rate, and certificates.

Institutional Sales Assistant / Liaison Equity Capital Markets

• Aug 1998 - Jan 2002

• Presented a results-driven approach to vigorously market Technology Research Analysts not only in New York but also across the nation; furthermore, provided assistance to market the top 100 accounts in secondary business • Demonstrated multi-tasking abilities across all levels to coordinate special marketing events, set up individual and group meetings, maintain and dispense New York technology events calendar, and update call lists for Specialists • Implemented strong leadership skills while training and directing the support staff of the Technology sales desk; also, set up lunches and dinners for topical panel discussions and industry expert panels, and assisted in the production of company non-deal roadshows • Receptively planned, organized, and delivered various presentations about companies going public to individuals such as Professional Associations, Money Managers, and Investors • Played a key role in the successful conceptualization and implementation of a distributing email system which complied with marketing IPO’s, road shows, Analyst visits, and events calendar Show less

Institutional Sales Assistant

• Apr 1998 - Aug 1998

Administrative Assistant to 3 Institutional Account Executives Administrative Assistant to 3 Institutional Account Executives

Administrative Assistant to the Managing Director of the Investment Division

• Feb 1997 - Nov 1997

• Assistant to the Managing Director, in providing support and assistance for 41 financial professionals • Extensive client contact, active involvement in business development efforts regarding investments, banking and retail brokerage • Assistant to the Managing Director, in providing support and assistance for 41 financial professionals • Extensive client contact, active involvement in business development efforts regarding investments, banking and retail brokerage

Operations/Data Entry (Project Consultant)

• May 1996 - Dec 1996

• Worked unsupervised on a project called Master Files, which is a Global Client Database that would link the client database worldwide in all aspect of the bank. • This project also included the conversion of their trading system • Worked unsupervised on a project called Master Files, which is a Global Client Database that would link the client database worldwide in all aspect of the bank. • This project also included the conversion of their trading system

Retail Sales Assistant

• Dec 1984 - Jun 1996

• Assisted two retail salesman in the Model Cities department • Scheduled appointment made travel arrangements • Prepared marketing packets and follow-up material • Assisted two retail salesman in the Model Cities department • Scheduled appointment made travel arrangements • Prepared marketing packets and follow-up material

Retail Sales Assitant

• Jun 1994 - Jun 1995

• Assisted two Brokers in the Private Client Services department • Interacted extensively with clients and internal operational departments to provide information and resolve inquires regarding accounts • Assisted two Brokers in the Private Client Services department • Interacted extensively with clients and internal operational departments to provide information and resolve inquires regarding accounts

Institutional Sales Assistant

• Feb 1989 - Jun 1994

• Provided sales and administrative support for top producing sales team • Provided clients with research and market information to help manage individual accounts • Coordinated efforts between several operational areas to set-up first custody account • Interfaced with portfolio managers and trading desks on all syndicate transactions • Provided sales and administrative support for top producing sales team • Provided clients with research and market information to help manage individual accounts • Coordinated efforts between several operational areas to set-up first custody account • Interfaced with portfolio managers and trading desks on all syndicate transactions

Registered Representative

• Jun 1986 - Jun 1988

• Registered Representative on a preferred customer trading desk • Actively covered four Option Trading Accounts • Direct contact with both the New York and American Stock Exchanges • Transferred to the floor of the NYSE to the position of phone clerk June of 1987 • Registered Representative on a preferred customer trading desk • Actively covered four Option Trading Accounts • Direct contact with both the New York and American Stock Exchanges • Transferred to the floor of the NYSE to the position of phone clerk June of 1987

Retail Sales Assistant

• Dec 1983 - Dec 1984

Receptionist/New Accounts Clerk

• Nov 1981 - Dec 1983